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33 results found

Article

Latham & Watkins LLP | United Kingdom | 5 Aug 2019

FCA Warns of ‘Significant Weaknesses’ in Firms’ Implementation of the Conduct Rules

In its latest piece of feedback on firms’ implementation of the SMCR, the FCA indicated that firms must improve their implementation of the

Article

Latham & Watkins LLP | United Kingdom, European Union | 26 Jul 2019

MiFID II - Progress Report

In the second post of this 10-blog series, we examine recent and upcoming developments relating to MiFID II. This is taken from our wider publication:

Article

Latham & Watkins LLP | United Kingdom | 26 Jul 2019

FCA Confirms SMCR Optimisations

The FCA has published final rules confirming amendments to the SMCR, and final rules for solo-regulated firms.

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 | 24 May 2019

Key Industry Lessons From the FCA’s First Competition Law Case

The decision gives market participants some helpful indications as to what kinds of information sharing the FCA considers are legitimate, both in the

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 | 21 Feb 2019

FCA Publishes Policy Statement Extending Rules to Payment Services and E-Money Sectors

From August 2019, certain existing FCA rules and guidance will extend to payment service providers and e-money issuers in a signal that the FCA wants

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.

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