Michael McKee

Michael McKee

DLA Piper

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FCA considers promotion, conflicts of interest and governance of dark pools in thematic review

On 21 July 2016, the Financial Conduct Authority (FCA) published the results of a thematic review, in which they examined 'dark pools' - trading venues with no pre-trade transparency, where the price and volume of all orders...more

8/11/2016 - Conflicts of Interest Dark Pool Financial Conduct Authority (FCA) MTFs UK

FCA thematic review finds failures in oversight of authorised representatives in insurance industry

On 22 July 2016, the Financial Conduct Authority (FCA) published the results of a thematic review in which the FCA found significant shortcomings in the control and oversight of appointed representatives (ARs) by their...more

8/4/2016 - Financial Conduct Authority (FCA) Insurance Industry Risk-Based Approaches UK

FCA MiFID II Consultation Paper: How FCA plans to implement parts of MiFID II

On 29 July 2016, the FCA released consultation paper 16/19: MiFID II Implementation. The FCA is seeking stakeholders' views on its proposals for changes to the Handbook to implement the requirements of MiFID II and...more

8/2/2016 - Financial Conduct Authority (FCA) MiFID II MiFIR Prudential Standards UK

Anti-money laundering bulletin - Summer 2016

In this issue, we provide updates on anti-money laundering news and enforcement action, both in the UK and internationally, including - - FCA publishes consultant’s findings from research into bank de-risking -...more

8/1/2016 - AML-CTF Anti-Money Laundering De-Risking FATF Financial Conduct Authority (FCA) Financial Institutions HM Treasury Information Reports MLD4 UK

Important changes to the Market Abuse Regime

The Market Abuse Regulation (MAR) will replace the current EU market abuse regime from 3 July 2016. This will be the first time standardised market abuse rules will apply across all EU countries. Up to now the rules flowed...more

7/28/2016 - Amended Regulation EU EU Market Abuse Regulation (EU MAR) PDMR UK

No more passporting post-Brexit?

UK authorised financial institutions (banks, investment firms, fund managers, insurers, insurance intermediaries payment institutions and e-money issuers) can carry out their activities across the EEA without setting up a...more

7/27/2016 - AIFMD CRD IV Directive EEA EU Financial Services Industry MiFID Passporting Payment Services Directive Third Country Entities UK UK Brexit

Brexit: How will it impact asset and fund managers?

Following the result of the UK referendum on 23 June 2016 to leave the EU, there is still a considerable amount of uncertainty about the impact of the decision on the financial services industry, including asset and fund...more

7/20/2016 - AIFMD Asset Management EU Fund Managers Popular UCITS UK UK Brexit

UK Financial Services Sector regulatory landscape for 2016

In a short article it is not possible to be totally comprehensive about everything that the regulators are focused on, and which might affect you, in the year ahead but here are some of the bigger issues of which to be...more

5/24/2016 - Bank of England Financial Conduct Authority (FCA) Financial Regulatory Reform Innovation Prudential Regulation Authority Senior Managers UK Whistleblower Protection Policies

US and EU reach an important agreement on CCP global equivalence: how will it affect you?

US Commodity Futures Trading Commission Chairman Timothy Massad and European Commissioner Jonathan Hill have agreed on a common approach to harmonizing transatlantic regulations regarding the central clearing of derivatives...more

5/12/2016 - Central Counterparties CFTC Clearing Agencies EU Market Participants

Market Abuse Regime: Overview for AIM companies

INTRODUCTION The Market Abuse Regulation ("MAR") introduces a new market abuse regime from 3 July 2016. MAR is designed to introduce a common regulatory framework on market abuse across the EU and generally will extend the...more

5/9/2016 - AIM Disclosure Requirements EU EU Market Abuse Regulation (EU MAR) Financial Conduct Authority (FCA) FSMA London Stock Exchange UK

Market Abuse Regime: Overview for Offical List Companies

- INTRODUCTION The Market Abuse Regulation ("MAR") will replace the existing market abuse regime from 3 July 2016. MAR is designed to introduce a common regulatory framework on market abuse across the EU and generally...more

5/9/2016 - EU EU Market Abuse Regulation (EU MAR) European Securities and Markets Authority (ESMA) Listing Rules UK

FCA publishes final rules on strengthening accountability in banking

On 4 February 2016, the FCA set out further final rules on the new Senior Managers Regime (PS16/3: Strengthening Accountability in Banking - Feedback on CP15/22 (July 2015) and CP15/31 (October 2015); rules on extending the...more

2/19/2016 - Banking Sector Financial Conduct Authority (FCA) Prudential Regulation Authority Senior Managers Insurers Regime (SMIR) UK

Financial Services Regulation - Exchange International Newsletter - Issue 28 - January 2016

DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-eighth edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of regulatory developments in...more

2/8/2016 - BRRD Data Outsourcing Enforcement Actions EU Financial Conduct Authority (FCA) Interest Rate Swaps Market Abuse MiFID Payment Processors Securities Financing Transactions (SFTs) Senior Managers Insurers Regime (SMIR) Singapore SMEs UCITS UK

FCA consults on UK implementation of the Market Abuse Regulation

On 5 November 2015, the Financial Conduct Authority (FCA) published a consultation paper CP15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU) (Consultation...more

12/1/2015 - Consultation EU Financial Conduct Authority (FCA) Market Abuse UK

UK Government Plans to Extend New Senior Managers and Certificate Regimes to all UK Regulated Firms

The initial reception to the new senior managers and certification regime (SM & CR) for banks building societies and PRA-designated investment firms was that the government had gone too far. There was concerns that...more

10/19/2015 - Banking Sector Fair and Effective Markets Review (FEMR) Financial Institutions Investment Firms Presumption of Reliance Prudential Regulation Authority Regulatory Agenda Senior Managers

FCA and PRA Set Out New Rules on Whistleblowing.

The FCA has published new rules designed to encourage a culture in which individuals raise concerns and challenge poor practice and behaviour. The new regime represent a significant expansion on the scope of the previous...more

10/12/2015 - Banking Sector Best Management Practices Chief Compliance Officers Financial Conduct Authority (FCA) Financial Institutions Investment Funds New Guidance Prudential Regulation Authority UK Whistleblower Protection Policies Whistleblowers

New EU Regulation for Electronic Signatures

The EU has adopted a new regulation, which will introduce a new legal framework for electronic signatures, seals, time stamps and electronic documents. These rules aim at creating a uniform regime across EU for the...more

8/28/2015 - Authentication Corporate Counsel Digital Single Market E-Signatures EU EU Directive International Harmonization Member State New Regulations

Financial Services Regulation: Exchange – International Newsletter - Issue 26 – May 2015

DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-sixth edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of regulatory developments in the...more

6/2/2015 - AIFMD AML-CTF Australia Banks Basel III Capital Markets Crowdfunding Deutsche Bank EU EU Directive European Securities and Markets Authority (ESMA) Financial Institutions Financial Regulatory Reform Foreign Banks Libor Middle East MiFID Netherlands Securities Shadow Banking Spain UK United States

AML Bulletin - Spring 2015

In This Issue: * UK News & Enforcement Action: - HMRC releases AML and CTF supervision report 2013 – 2014 - HM Treasury High Risk Money Laundering List Updated - FCA Thematic Review Into AML And Sanctions...more

5/30/2015 - AML-CTF Anti-Money Laundering Banks Commerzbank Criminal Prosecution Deutsche Bank Enforcement Actions FATF Financial Conduct Authority (FCA) Fines HM Treasury HMRC Money Laundering Prison Sanctions UK

Real Estate Gazette - Issue 19 (Global)

In This Issue: - INTERNATIONAL: Key Issues For Real Estate In The Implementation Of The AIFMD Across Europe - ASIA: Understanding Four Key Changes To The Hong Kong REIT Code -...more

3/12/2015 - AIFMD AIFS Australia Commercial Real Estate Market EU FIRB Foreign Direct Investment Foreign Investment Hong Kong Insurance Industry International Tax Issues IRS Lenders Middle East Pooled Investment Vehicles REIT Retail Market Russia Stamp Taxes State-Owned Enterprises

New EU Law Authority For ECB Intervention In The EU Government Bond Markets Strengthens European Financial Markets

The ECB Governing Council will meet on 22 January and is expected to discuss implementing a quantitative easing (QE) policy which would result in national central banks buying Euro denominated government bonds from their own...more

1/20/2015 - Banks Bonds EU European Central Bank Eurozone Government Bonds Quantitative Easing

Exchange – International Newsletter: Issue 24 – October 2014

WELCOME - DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-fourth edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of regulatory...more

11/5/2014 - Banks Compliance Enforcement Enforcement Actions EU Financial Conduct Authority (FCA) Financial Regulatory Reform Foreign Banks Leverage Ratio Liquidity Coverage Ratio Payday Loans Prudential Regulation Authority SEC UK

Launch Of The MIFID II/MIFIR Consultation Process: ESMA's Consultation Paper 2014/549 and Discussion Paper 2014/548

The final legislative texts of the new Markets in Financial Instruments Directive ("MiFID II") and the Markets in Financial Instruments Regulation ("MiFIR") were adopted by the European Parliament on 15 April 2014 and by the...more

6/27/2014 - EMIR EU European Securities and Markets Authority (ESMA) MiFID Reasonable Accommodation

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