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Article

Latham & Watkins LLP | United Kingdom, Global | 13 Nov 2017

Regulatory Sandboxes a Global Stocktake

Pioneered in the UK as part of the Financial Conduct Authority's (FCA) "Project Innovate", a regulatory sandbox is a "safe space" in which businesses

Article

Latham & Watkins LLP | USA, European Union | 26 Oct 2017

MiFID II Research - Relief at Last?

On 26 October 2017, the SEC published a press release announcing the publication of three "no action" letters, offering relief for US broker-dealers

Article

Latham & Watkins LLP | United Kingdom | 24 Aug 2017

The (Potentially) Long Arm of the SMCR

Much has already been written on the proposed extension of the Senior Managers & Certification Regime (SMCR) with a recent flurry of activity

Article

Latham & Watkins LLP | United Kingdom | 11 Jul 2017

The UK Financial Conduct Authority Bans Use of Certain Restrictive Contractual Clauses

During 20142015 the FCA conducted a market review on competition in wholesale financial markets as well as a study into investment and corporate

Article

Latham & Watkins LLP | United Kingdom | 5 Jul 2017

MiFID II - Second Policy Statement and Further Consultation

The FCA has published its second Policy Statement (PS1714) on MiFID II implementation, following publication of its first Policy Statement (PS175)

Article

Latham & Watkins LLP | United Kingdom | 22 Jun 2017

FCA Consults on UK Implementation of EU Benchmarks Regulation

The FCA has published its Consultation Paper (CP1717) on UK implementation of the EU Benchmarks Regulation (BMR). As the BMR is a directly applicable

Article

Latham & Watkins LLP | United Kingdom | 14 Jun 2017

Benchmarks Update

The FCA has published a Consultation Paper (CP175), setting out its proposed approach to the use of its compulsion powers under the EU Benchmarks

Article

Latham & Watkins LLP | European Union | 5 Jun 2017

ESMA Final Report on MiFID II Product Governance Requirements

The MiFID II Product Governance regime presents a number of implementation challenges for firms. The rules originated from an existing FCA regime

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