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113 results found

Article

Bryan Cave Leighton Paisner (BLP) | United Kingdom | 8 Aug 2018

FCA’s new approach to consumers and proposed new duty of care

On 17 July 2018, the FCA set out its approach to consumers: FCA Mission: Approach to consumers. The Approach document sets out the FCA’s vision for

Article

Bryan Cave Leighton Paisner (BLP) | USA, United Kingdom | 16 Jul 2018

DOJSEC FCPA Settlement Targets Hiring Practices Used as Bribes

On July 5, 2018, the SEC and the Department of Justice announced that a large financial institution, has agreed to pay nearly $76 million to settle

Article

Bryan Cave Leighton Paisner (BLP) | United Kingdom | 20 Jun 2018

FCA announces review of investment research and corporate access

At their Asset Management Conference on 12 June, the FCA announced their intention to commence a review of how asset managers pay for investment

Article

Bryan Cave Leighton Paisner (BLP) | United Kingdom, European Union | 19 Jun 2018

MiFID II: Corporate Access 6 Months On

Six months into MiFID II and the impact of the new inducement and investment research rules on the market have been significant, particularly in the

Article

Bryan Cave Leighton Paisner (BLP) | United Kingdom | 12 Jun 2018

FCA consults on periodic financial reports and inside information

The FCA has published Primary Market Bulletin No.19 consulting on revised guidance on periodic financial information and inside information

Article

Bryan Cave Leighton Paisner (BLP) | United Kingdom | 12 Jun 2018

Dear CEO... The FCA’s most recent warning to firms in relation to cryptocurrencies

What are the most important issues to which banks operating in the cryptoasset (or cryptocurrency) space should be alive? Everyone will have their

Article

Bryan Cave Leighton Paisner (BLP) | United Kingdom | 31 May 2018

FCA finalises guidance on approach to review of Part VII insurance business transfers

The FCA has finalised its guidance on its approach to reviewing Part VII insurance business transfers (FG184). It also published in March a

Article

Bryan Cave Leighton Paisner (BLP) | USA, United Kingdom, France | 21 May 2018

DOJ New No-Piling-On Policy for Corporate Sanctions Moves US Closer to UK and French Authorities

On 9 May, Deputy Attorney General Rosenstein announced a new DOJ policy that "encourages coordination among Department components and other

Article

Bryan Cave Leighton Paisner (BLP) | United Kingdom | 27 Mar 2018

The research revolution: The receipt of investment research in the era of MiFID II

Following the implementation of MiFID II, the vast majority of firms that receive investment research have chosen to pay for it out of their own

Article

Bryan Cave Leighton Paisner (BLP) | United Kingdom | 23 Mar 2018

Unexplained Wealth Orders

UK law enforcement agencies may now obtain unexplained wealth orders and supporting interim freezing orders when they have reasonable grounds to

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