We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search

Clear all

Refine your search

Content type

Tags

Author

18 results found

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

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 | United Kingdom | 2 Jul 2018

MiFID II Research Unbundling 6 Months on - what are we seeing in the market?

The FCA has recently announced that it will begin a review of how firms have implemented the unbundling rules “within weeks”. At its recent asset

Previous page 1 2