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676 results found

Article

Slaughter and May | United Kingdom, European Union | 8 Nov 2018

Financial Regulation Weekly Bulletin - 8 November 2018

The House of Commons Environmental Audit Committee has published its Eleventh Special Report of Session 2017-19 containing the Government's

Article

Wilmer Cutler Pickering Hale and Dorr LLP | United Kingdom | 7 Nov 2018

Final Notice in Tesco Personal Finance Plc- Cyber Attacks and the Need for Dress Rehearsals

In a Final Notice dated 1 October 2018, the FCA sanctioned Tesco Personal Finance Plc for failings connected with a cyber attack it suffered in

Article

TLT LLP | United Kingdom | 30 Oct 2018

Financial services regulation round-up - October 2018

On 11 October 2018, the FCA published draft guidance, GC184: Senior Managers and Certification Regime - Proposed guidance on statements of

Article

TLT LLP | USA, United Kingdom, European Union | 12 Jun 2018

Busy lenders round-up - June 2018

The Pre-Action Protocol for Professional Negligence (the Protocol) has been amended to include a requirement for claimants to consider adjudication at

Article

Freeborn & Peters | USA | 24 Aug 2017

Negotiating Variable Rate Mortgage Loans as LIBOR Phases Out

LIBOR panel banks and regulators are working on a plan for a transition to alternate benchmarks by the end of 2021. At this point, a large chunk of

Article

Katten Muchin Rosenman LLP | USA, United Kingdom | 30 Jun 2017

FCA Publishes Final Report on Asset Management Market Study

On June 28, the Financial Conduct Authority (FCA) published its final report after its asset management market study (Study), which began in November

Article

Bryan Cave Leighton Paisner (BLP) | United Kingdom | 16 Dec 2016

FCA launches market study into residential mortgages

Financial services firms are increasingly under the FCA’s competition law spotlight. The residential mortgages sector is the latest area to be

Article

Katten Muchin Rosenman LLP | USA | 30 Sep 2016

FCA Publishes Further Commentary on Payments for Order Flow

On September 27, the UK Financial Conduct Authority (FCA) published an update on its work in relation to payments for order flow (PFOF) in its latest

Article

Bryan Cave Leighton Paisner (BLP) | United Kingdom | 3 Aug 2016

Key findings from the FCA’S thematic review into dark pools

Last week, the FCA published its report following its thematic review (TR165) on dark pools, called ‘UK equity market dark pools - Role, promotion

Article

DAC Beachcroft | United Kingdom | 3 Aug 2016

FCA thematic review puts dark pool trading in the spotlight

On 21 July 2016, the FCA published a report on its thematic review of the UK equity marketplace, focusing on dark pools and broker crossing networks

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