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Article

Katten Muchin Rosenman LLP | USA | 12 May 2017

FIA Calls for Transitional Period for Commodity Firms Under MiFID II

As originally reported by Risk.net (subscription required) on May 5, the Futures Industry Association (FIA) has asked HM Treasury to allow for a

Article

Cummings Law Ltd | United Kingdom | 9 Dec 2016

MiFID II: new FCA webpage

The FCA has published a new webpage for firms subject to transaction reporting obligations under MiFID II and MiFIR. From 3 January 2018, firms

Article

Burges Salmon LLP | United Kingdom | 9 Nov 2016

The Financial Conduct Authority (FCA) has finalised its guidance for regulated firms outsourcing IT functions to the cloud.

The guidance builds on the FCA’s existing approach. The FCA defines outsourcing as a third party delivering services on behalf of regulated firms, and

Article

Harneys | Cayman Islands | 9 Nov 2016

The Cayman Islands Director Registration and Licensing Law

The Cayman Islands Director Registration and Licensing Law (the Law) came into force in 2014, requiring directors of Cayman "covered entities" to

Article

Morrison & Foerster LLP | United Kingdom, European Union | 30 Aug 2016

Cloud Computing: A move towards harmonization, or continuation of a tiered service provision?

Regulators in Europe have continued to publish Guidance Notes designed to encourage the take-up of cloud computing services. As we report in this

Article

Katten Muchin Rosenman LLP | USA | 5 Aug 2016

FCA Publishes Second Consultation on MiFID II Implementation

On July 29, the UK Financial Conduct Authority (FCA) published a consultation paper (Consultation) on the UK implementation of the amended and

Article

Cooley LLP | USA, United Kingdom | 4 Aug 2016

FCA introduces new Annual Financial Crime Report - first reports due March 2017

The UK Financial Conduct Authority’s new Annual Financial Crime Report rules will come into force on 31 December 2016. PRA and FCA authorised firms

Article

Jones Day | United Kingdom, European Union | 4 Aug 2016

The Alternative Investment Fund Managers Directive2016 Update

This White Paper sets out the key features of the European Directive on Alternative Investment Fund Managers (“AIFMD”) and considers its impact on

Article

Eversheds Sutherland (International) LLP | United Kingdom | 4 Aug 2016

FCA update on PPI

Following the FCA's November 2015 consultation paper 'Rules and guidance on payment protection insurance' (CP1539), which set out the FCA's proposed

Article

Cooley LLP | United Kingdom | 3 Aug 2016

FCA warns authorised firms about the risks of using introducers & lead generators - but fails to warn introducers about the bigger risks they’re running for themselves

The UK’s Financial Conduct Authority has warned UK authorised firms about the significant legal and regulatory risks associated with accepting

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