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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 | 6 Apr 2018

Next Steps in the Asset Management Market Study

Alongside the publication of the FCA’s final report in its asset management market study in June 2017, the FCA launched a consultation (CP1718) on

Article

Latham & Watkins LLP | United Kingdom | 28 Mar 2018

FCA Proposes New Guidance on Financial Crime Systems and Controls

The FCA proposes to add a new Chapter 8 to Part 1 of its Financial Crime Guide, outlining the FCA’s observations of good and bad practice regarding

Article

Latham & Watkins LLP | USA, Switzerland, United Kingdom, etc. | 27 Mar 2018

Private Banking Newsletter: Issues Impacting the Private Bank Sector

On 23 February 2018, the FCA published a Policy Statement with new perimeter guidance on what amounts to a personal recommendation in relation to

Article

Latham & Watkins LLP | United Kingdom | 16 Mar 2018

Transforming Culture in Financial Services The FCA Renews Its Approach

In Discussion Paper (DP) 182, the FCA has taken an unusual approach to a topic that has received considerable attention in recent years. Instead of

Article

Latham & Watkins LLP | United Kingdom | 27 Feb 2018

FCA Sets Expectations on Algorithmic Trading

The FCA has published a report, clarifying its expectations of firms that develop or use algorithmic trading strategies. On 12 February 2018, the FCA

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 | 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

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