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37 results found

Article

Latham & Watkins LLP | United Kingdom | 6 Jun 2019

Regulators Get Tough on Regulatory Outsourcing Failings

On 29 May 2019, the FCA and PRA announced that they had fined an independent UK bank for failing to manage its outsourcing arrangements properly

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, 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 | 30 Nov 2018

FCA to Clarify Scope of the Client Dealing Function

The FCA acknowledges that the scope of the Client Dealing Function needs to be clarified, and will consult on changes to its rules.

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 | 5 Oct 2018

Findings from FCA Thematic Review on AML and CTF Systems and Controls Provide Timely Reminder for Firms

The FCA has published TR183, setting out the findings from its thematic review of the anti-money laundering (AML) and counter-terrorist financing

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

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