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26 results found

Article

Katten Muchin Rosenman LLP | United Kingdom | 27 Apr 2018

FCA Adds New Interactive Tools to Asset Management Authorization Hub

On April 20, the UK Financial Conduct Authority (FCA) updated its asset management authorization hub (Hub), which launched on October 16, 2017, as

Article

Katten Muchin Rosenman LLP | United Kingdom | 6 Apr 2018

FCA Publishes Changes Affecting Authorized Fund Managers and Proposes Further Changes

On April 5, the UK Financial Conduct Authority (FCA) published a policy statement with the final rules from its consultation paper 1718 on asset

Article

Katten Muchin Rosenman LLP | United Kingdom | 16 Mar 2018

FCA Publishes Webpage on Review of Closet Trackers

On March 14, the UK Financial Conduct Authority (FCA) published a webpage in relation to its review of potential closet tracker funds and closet

Article

Katten Muchin Rosenman LLP | United Kingdom, European Union | 5 Jan 2018

FCA Publishes Statement on Brexit

On December 20, 2017, the UK Financial Conduct Authority (FCA) published a statement on the UK's withdrawal from the European Union (EU). Referencing

Article

Katten Muchin Rosenman LLP | European Union | 20 Oct 2017

EU Begins Infringement Proceedings Against 19 Member States Failing to Implement MiFID II

The European Commission has launched infringement proceedings against 19 member states of the European Union whom it states are failing in

Article

Katten Muchin Rosenman LLP | United Kingdom | 20 Oct 2017

FCA Launches Asset Management Authorization Hub

On October 16, the UK Financial Conduct Authority (FCA) launched the asset management authorization hub (Hub), a new section of its website. The Hub

Article

Katten Muchin Rosenman LLP | United Kingdom | 22 Sep 2017

FCA Gives Firms Breathing Room on MiFID II Compliance

On September 20, a senior official in the UK’s Financial Conduct Authority (FCA) opened the door to an informal conformance period for market

Article

Katten Muchin Rosenman LLP | USA, United Kingdom | 30 Jun 2017

FCA Publishes Final Report on Asset Management Market Study

On June 28, the Financial Conduct Authority (FCA) published its final report after its asset management market study (Study), which began in November

Article

Katten Muchin Rosenman LLP | USA, United Kingdom, European Union | 23 Jun 2017

MiFID II Implementing Legislation Published

On June 22, the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (SI 2017701) were presented to Parliament

Article

Katten Muchin Rosenman LLP | United Kingdom, European Union | 14 Apr 2017

PRA Issues “Dear CEO” Letters on Brexit Contingency Planning

On April 7, the Prudential Regulation Authority (PRA) published a copy of the "Dear CEO" letter it had sent to firms relating to contingency planning

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