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Article

Herbert Smith Freehills LLP | United Kingdom, European Union | 14 Jun 2019

The month ahead in financial services regulatory developments

In this blog post, we round-up forthcoming developments in the UK and at EU and International levels in financial services regulation for July 2019

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 | 6 Jun 2019

LIBOR discontinuation - FCA thematic feedback on responses to Dear CEO letter

The FCA and PRA yesterday published a joint statement setting out their key observations from the responses of major banks and insurers in the UK to

Article

Herbert Smith Freehills LLP | United Kingdom | 4 Jun 2019

Retail bank fined £1.89m by FCA and PRA for outsourcing failings

The FCA and PRA have announced their second enforcement action in relation to outsourcing failures by the retail bank R. Raphael & Sons plc

Article

Herbert Smith Freehills LLP | United Kingdom | 8 May 2019

Key themes from the FCA’s Approach to Enforcement

On 24 April 2019 the FCA published its final “Approach to Enforcement” document, following a consultation period which ended in June 2018. The

Article

Herbert Smith Freehills LLP | United Kingdom | 2 May 2019

FCA review of the general insurance distribution chain - “at a glance” guide

The FCA's thematic report on the general insurance ("GI") distribution chain (TR192) contains a clear warning to firms involved in the design and

Article

Herbert Smith Freehills LLP | United Kingdom | 29 Apr 2019

Proposed ‘duty of care’ in financial services: next steps

The FCA has published its Feedback Statement on ‘A duty of care and potential alternative approaches’ (FS192). This contains a summary of responses

Article

Herbert Smith Freehills LLP | United Kingdom | 29 Apr 2019

Report into supervision of the Co-operative Bank: lessons not just for regulators but also for firms

While there have been other reviews into the near failure of the Co-operative Bank (“Co-op Bank”), on 6 March 2018, HM Treasury announced that it had

Article

Herbert Smith Freehills LLP | Australia, United Kingdom, European Union | 24 Apr 2019

Brexit asset management update

The draft Financial Services (Miscellaneous) (Amendment) (EU Exit) (No. 2) Regulations 2019 (SI) (with draft explanatory memorandum), which makes

Article

Herbert Smith Freehills LLP | United Kingdom | 18 Apr 2019

UK: re-engagement ordered following unfair dismissal, notwithstanding contributory fault

The recent tribunal case of Fotheringhame v Barclays Services Ltd highlights the risk of an employee obtaining a re-engagement order following a

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