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23 results found

Article

Latham & Watkins LLP | European Union, Global | 27 Jun 2019

Private Bank Briefing: Issues Impacting the Private Bank Sector - June 2019

The FCA and the PRA published their Business Plans for 201920 in April 2019. FCA Priorities As expected, with Brexit remaining a key focus, there are

Article

Latham & Watkins LLP | United Kingdom, European Union | 4 Apr 2019

Private Bank Briefing Issues Impacting the Private Bank Sector - April 2019

On 23 January 2019, the FCA published a Consultation Paper (CP194) concerning further amendments to the Senior Managers and Certification Regime

Article

Latham & Watkins LLP | United Kingdom, European Union | 1 Mar 2019

MiFID II Costs and Charges Room For Improvement

The FCA found that, despite firms being aware of the rules and taking compliance seriously, firms are not interpreting the rules consistently

Article

Latham & Watkins LLP | United Kingdom, European Union | 1 Feb 2019

Brexit and Financial Services FCA Issues Further Guidance For Firms

The FCA has highlighted areas in which transitional relief will not be granted in a no-deal scenario. Firms need to prepare now to comply with

Article

Latham & Watkins LLP | United Kingdom | 23 Jan 2019

FCA Consults on Further Amendments to the SMCR

The FCA is proposing to exclude the Head of Legal from the scope of the Senior Managers Regime.

Article

Latham & Watkins LLP | United Kingdom, European Union | 29 Nov 2018

FCA CP1836 The Second Brexit Onshoring Consultation

Under the Temporary Permissions Regime (TPR), the FCA intends to apply the Senior Managers and Certification Regime (SMCR) and the Approved Persons

Article

Latham & Watkins LLP | United Kingdom | 20 Sep 2018

A New Sheriff in Town? UK MPs Call for Regulation of “Wild West” Crypto-assets

As part of its ongoing Digital Currencies inquiry, the House of Commons Treasury Committee (the Committee) has published a report on crypto-assets

Article

Latham & Watkins LLP | United Kingdom, European Union | 27 Jul 2018

First Details of Brexit Temporary Permissions Regime Published Key Questions Answered

HM Treasury published draft legislation on 24 July 2018 to establish a temporary permissions regime. As previously announced, the regime is being

Article

Latham & Watkins LLP | United Kingdom | 4 Jul 2018

Regulators Publish Final Rules on SMCR Extension

The FCA and the PRA have published their Policy Statements, setting out final rules on the SMCR regimes for insurers and FCA solo-regulated firms. Key

Article

Latham & Watkins LLP | USA, Singapore, United Kingdom, etc. | 3 May 2018

Global Developments on Best Execution

Best execution is currently a hot topic for global regulators and the past year has seen notable regulatory focus in this area. Amid this development

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