Robert Falkner

Robert Falkner

Reed Smith

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Latest Publications


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

6/14/2015 - Commodities Currency Control EU Fair and Effective Markets Review (FEMR) FICC FICC Market Standards Board (FMSB) Financial Conduct Authority (FCA) HM Treasury UK

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

5/20/2015 - Anti-Bribery Anti-Corruption Asset Management Banks Brokers Derivatives Emerging Markets Financial Conduct Authority (FCA) Financial Institutions Insurance Industry Money Laundering Securities UK

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

3/18/2015 - Consumer Financial Products Financial Conduct Authority (FCA) Financial Promotions New Guidance Social Networks UK

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

6/17/2013 - EEA EMIR ESMA Investment Portfolios Mandatory Clearing Requirements OTC Reporting Requirements Risk Mitigation

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