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Article

Herbert Smith Freehills LLP | Australia, United Arab Emirates, United Kingdom, etc. | 11 Feb 2019

FSR Insights - 2019 Outlook

Herbert Smith Freehills' Financial Services Regulatory (FSR) team surveys the regulatory landscape in 2019 and identifies some themes we expect to be

Article

Herbert Smith Freehills LLP | United Kingdom, European Union | 11 Jan 2019

Preparing for Brexit: EEA Firms UK Temporary Permissions Regime (“TPR”)

The UK FCA and PRA propose to implement the TPR if the UK leaves the European Union on 29 March 2019 without an implementation (or transitional)

Article

Herbert Smith Freehills LLP | United Kingdom | 13 Aug 2018

On 17 July 2018, the FCA published a paper on its Approach to Consumers (the Approach), accompanied by a discussion paper DP185 (the DP) on the possible introduction of a new duty of care and other alternative approaches (a New Duty).

The Approach sets the FCA’s vision for well-functioning markets that work for consumers, and builds on the November 2017 consultation on its Future

Article

Herbert Smith Freehills LLP | United Kingdom | 20 Feb 2018

Unexplained Wealth Orders: How might this new investigative tool affect you?

From 31 January 2018, UK authorities can use new and expansive investigative powers to require both individuals and corporate bodies to provide

Article

Herbert Smith Freehills LLP | United Kingdom, European Union | 12 Dec 2017

United Kingdom FSR Insights - 2018 Outlook

The wide-reaching reform of the MiFID II will go live across Europe on 3 January 2018. The reforms are ambitious, aimed at strengthening investor

Article

Herbert Smith Freehills LLP | Hong Kong | 14 Nov 2017

Hong Kong regulators warn of common instances of non-compliance in asset management

The Hong Kong Securities and Futures Commission (SFC) has recently conducted around 250 inspections of licensed corporations engaged in asset

Article

Herbert Smith Freehills LLP | United Kingdom | 11 May 2017

UK: FCAPRA publish whistleblowing rules for UK branches

The FCA and PRA have recently published new rules on whistleblowing procedures for UK branches which will apply from 7 September 2017. In October

Article

Herbert Smith Freehills LLP | United Kingdom | 31 Mar 2017

FCA orders listed company to compensate investors following market abuse

The Financial Conduct Authority (FCA) has ordered that Tesco plc and Tesco Stores Limited (together, Tesco) pay compensation to certain Tesco

Article

Herbert Smith Freehills LLP | USA, United Kingdom, European Union | 16 Feb 2017

Brexit: Banking and Investment Firms

The UK exit from the EU is likely to have a significant impact on the financial services sector in the UK. The nature and extent of that impact will

Article

Herbert Smith Freehills LLP | United Kingdom, Hong Kong | 20 Jan 2017

UK and Hong Kong regulators enter into co-operation agreement to foster collaboration and promote innovation

On 7 December 2016, the UK's Financial Conduct Authority (FCA) and the Hong Kong Monetary Authority (HKMA) entered into a co-operation agreement as

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