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18 results found

Article

Herbert Smith Freehills LLP | United Kingdom | 10 Jun 2019

FCA publishes its latest Industry Feedback on its 5 Conduct Questions Programme

The FCA recently published its Industry Feedback for 201819 on its 5 Conduct Questions (5CQ) Programme (which can be accessed on the FCA’s websit

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, 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 | United Kingdom, European Union, Global | 3 Oct 2017

Timeline: What is on the Horizon? - October 2017

EU requirement for national insolvency registers to be established in all Member States (Recast Insolvency Regulation 2015 ((EU) 2015848))...

Article

Herbert Smith Freehills LLP | United Kingdom | 27 Jul 2017

FCA publishes proposals to extend the Senior Managers and Certification Regime

The FCA has published proposals to replace the Approved Persons Regime with the Senior Managers and Certification Regime (SMCR) currently in force

Article

Herbert Smith Freehills LLP | United Kingdom, European Union | 4 Jul 2016

MAR Monday: the EU Market Abuse Regulation comes into application

On 3 July 2016, the EU Market Abuse Regulation (MAR) (EU 5962014) replaced the Market Abuse Directive (MAD) and the current UK regimes for market

Article

Herbert Smith Freehills LLP | USA, Australia, United Kingdom, etc. | 16 Apr 2015

Market abuse update April 2015

2014 was marked by record fines for benchmarkmManipulation globally, criminal prosecutions for insider trading and market manipulation, and the first

Article

Herbert Smith Freehills LLP | United Kingdom | 2 Apr 2015

MiFID II: FCA and HM Treasury publish approach to UK implementation

The FCA and HM Treasury have published the first set of papers on the UK implementation of MiFID II: FCA discussion paper "Developing our approach to

Article

Herbert Smith Freehills LLP | USA, Australia, United Kingdom, etc. | 15 Dec 2014

Market abuse update

The FCA has continued to build on the strong track record of civil and criminal enforcement action against abusive conduct and manipulation, notably

Article

Herbert Smith Freehills LLP | United Kingdom | 18 Aug 2014

FCA publishes feedback on its thematic review of the use of dealing commission

The Financial Conduct Authority ("FCA") has published a Discussion Paper (DP143) "Discussion on the use of dealing commission regime: Feedback on

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