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Get Ready for Regulatory Change: MiFID II

This briefing summarises some of the requirements in MiFID II that will apply to investment firms that operate in the FX derivatives and contract for difference (CFD) sectors. Compliance with MiFID II is required from 3...more

What Do Recent Trends in PRA Fines Show Us About Its Enforcement Policy?

This Client Alert looks at the enforcement activity of the PRA since its establishment to better understand its enforcement policy. At the time the disciplinary enforcement jurisdiction of the Prudential Regulation...more

A spotlight on financial crime

The Financial Conduct Authority's (FCA) new mission statement has expressed a renewed intent to focus on financial crime, detecting insider dealing, market manipulation and anti-money laundering (AML). As a result, firms and...more

Brexit & Financial Services: The Big Question

The prospect of the UK leaving the EU has raised a host of questions for the financial services industry. This client alert is principally concerned with how firms in the UK may access the EU single market post Brexit without...more

Fair and effective markets review: the recommendations

On 10 June 2015 the Final Report of the UK’s Fair and Effective Markets Review (FEMR) was published setting out the conclusions of the review and recommendations as to how to improve the wholesale fixed income, currency and...more

De-risking: Bank access for brokers and asset managers

The FCA has publicly announced an expectation that, in the context of managing money laundering risks, banks should not indiscriminately withdraw services from market sectors. Brokers and asset managers with appropriate...more

FCA issues guidance on how firms should use social media for financial promotions

The UK’s Financial Conduct Authority (FCA) has published its guidance on using social media for financial promotions. In the guidance, the FCA made it clear that they understand the power of social media as a...more

EMIR – Summary of Key Requirements

The European Markets Infrastructure Regulation (EMIR) introduces requirements aimed at improving transparency and the reduction of risks associated with the derivatives market. EMIR also establishes organisational, conduct of...more

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