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FCA publishes its mission and annual business plan

The Financial Conduct Authority has this week published its mission, which will give firms and consumers greater clarity about how it prioritises its interventions in financial markets. It has simultaneously published its...more

Anti-money laundering bulletin - Spring 2017

DLA Piper’s Financial Services Regulatory team welcomes you to the Spring 2017 edition of our Anti-Money Laundering (AML) Bulletin. In this issue, we provide updates on AML developments and enforcement actions in the UK and...more

HM Treasury consults on the implementation of PSD2

On 2 February 2017, HM Treasury published a consultation paper on the implementation of PSD2 explaining the scope and key changes compared to PSD. The consultation outlines the Government's proposed approach to implementation...more

Financial Services Regulation - Exchange International Newsletter - Issue 31 - February 2017

DLA Piper’s Financial Services International Regulatory team welcomes you to the thirty first edition of “Exchange – International” – our newsletter designed to keep you informed of international regulatory developments in...more

Financial regulation in 2017: Europe and the US

The result of the UK referendum on its EU membership and the outcome of the US Presidential elections of 2016 have laid the ground for 2017 to be a year of transition for both Europe and the United States. As transitions are...more

Global Financial Markets Insight - Issue 11, 2016

As we come to the end of 2016 we re ect on a year characterised by events that have sent political shockwaves through the world’s major markets and consider what this may mean for the coming year. The surprise may be...more

Anti-money laundering bulletin - Autumn 2016

DLA piper’s financial Services regulatory team welcomes you to the autumn 2016 edition of our anti-money laundering (AML) bulletin. In this issue, we provide updates on AML news and enforcement action in the UK and...more

FCA proposes new measures to maintain focus on individual accountability and culture in banking

On 28 September 2016, the Financial Conduct Authority (FCA) marked six months since the implementation of the Senior Managers and Certification Regimes by providing feedback on its implementation so far and proposing measures...more

Latest FCA consultations on the UK implementation of MiFID II

On 15 May 2014, the European Parliament adopted the legislative proposal on the second Directive on Markets in Financial Instruments (MiFID II) and the Regulation on Markets in Financial Instruments (MiFIR). Together, MiFID...more

Brexit and MiFID II implementation in the UK – impacts on foreign markets

The looming Brexit – the withdrawal of the UK from the European Union – has prompted legal uncertainty regarding the implementation of pending EU financial regulations, among them MiFIR and MiFID II. In response to the EU...more

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Exchange International: Financial Services Regulation Newsletter - Issue 27

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

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