Robert Falkner

Robert Falkner

Reed Smith

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Latest Publications


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

3/8/2017 - Banking Sector Banks Prudential Regulation Authority UK

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

11/2/2016 - Compliance Enforcement Actions Financial Conduct Authority (FCA) Financial Crimes FSMA

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

7/20/2016 - AIFMD Cross-Border Transactions EEA EMIR EU EU Passport EU Single Market European Commission European Securities and Markets Authority (ESMA) Exclusions Financial Services Industry Fund Managers Member State MiFID II MiFIR UK UK Brexit

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 European Securities and Markets Authority (ESMA) Investment Portfolios Mandatory Clearing Requirements OTC Reporting Requirements Risk Mitigation

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