Michael McKee

Michael McKee

DLA Piper

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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

Financial Services Regulation: Exchange – International Newsletter - Issue 22 – April 2014

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

4/28/2014 - Banking Sector Crowdfunding ESMA EU Hong Kong UK

Exchange - International Newsletter - Issue 19 – July 2013

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

7/5/2013 - Banking Sector Compliance EU Foreign Banks Foreign Investment International Tax Issues New Legislation New Regulations

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