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Article

Burges Salmon LLP | United Kingdom | 10 Jun 2019

Financial services regulation: updates for FCA and PRA regulated firms

Both the FCA and PRA (the 'Authorities') issued final notices to R. Raphael & Sons plc fining the bank £777,100 and £1,121,512 respectively. The

Article

Burges Salmon LLP | United Kingdom, European Union | 28 May 2019

Regulated funds: updates for fund and asset managers

On 21 May 2019, the Cost Transparency Initiative (the CTI) published new templates and guidance for asset managers to enable them to report costs and

Article

Burges Salmon LLP | United Kingdom | 29 Mar 2019

The FCA publishes final rules and guidance on the Retirement Outcomes Review

The FCA has published its policy statement PS191 titled the Retirement Outcomes Review: feedback on CP1817 and its final rules and guidance (the

Article

Burges Salmon LLP | United Kingdom | 21 Feb 2019

The long awaited ban on cold calling in relation to pensions comes into force

The Privacy and Electronic Communications (Amendment) (No.2) Regulations (the Regulations) came into force on 9 January 2019 with the effect of

Article

Burges Salmon LLP | United Kingdom | 18 Feb 2019

Asset Management Market Study - FCA issues policy statement on further remedies

On 4 February 2019, the FCA issued its policy statement on further remedies as part of its Asset Management Market Study. Following industry feedback

Article

Burges Salmon LLP | United Kingdom, European Union | 18 Feb 2019

ESMA and EU Regulators agree no-deal Brexit MoU with FCA

On 1 February, ESMA announced that it had agreed with EU Regulators and the FCA Memoranda of Understanding (MoUs) to protect the asset management

Article

Burges Salmon LLP | United Kingdom | 18 Feb 2019

What is good culture in the investment management industry?

We all know the impact that good culture can have on a business. However, in a speech by Andrew Bailey on the 6 November 2018 at the Investment

Article

Burges Salmon LLP | United Kingdom | 7 Feb 2019

The latest on the Senior Managers & Certification Regime - CP194

Welcome to our financial services regulation blog, a practical guide to legal and regulatory developments in the UK. The framework governing UK

Article

Burges Salmon LLP | United Kingdom, European Union | 7 Feb 2019

Brexit update - temporary transitional power

The Treasury has published draft legislation that would temporarily empower the FCA and the PRA to make transitional provisions if the UK leaves the

Article

Burges Salmon LLP | United Kingdom, European Union | 7 Feb 2019

Brexit update - passporting

Incoming EEA firms As you will all know, the UK and the EU agreed on an implementation period as part of the draft withdrawal agreement, during which

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