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ESG Investing: A Global Regulatory Review and Outlook

As environmental, social, and governance (ESG) considerations become increasingly central to investment strategies worldwide, the regulatory landscapes governing ESG investing are evolving rapidly across different regions....more

UK Financial Conduct Authority Adopts New Anti-Greenwashing Rule and Guidance

The UK Financial Conduct Authority (FCA) recently adopted a new anti-greenwashing rule, alongside supplemental guidance, requiring that financial service businesses regulated by the FCA ensure that any sustainability claims...more

UK FCA Adopts ‘Joint Payment’ Option Allowing Bundling of Payments for Research and Trade Execution

Further to its consultation in spring 2024, the UK Financial Conduct Authority (FCA) has confirmed in Policy Statement PS24/9, “Payment Optionality for Investment Research,” that, with effect from today, 1 August 2024,...more

The Future of Climate-related Disclosures for Multinational Companies

Climate change has become a top priority on the global agenda, prompting governments, businesses, and investors to take decisive action. Central to these efforts is the disclosure of sustainability risks— particularly...more

Asia's Private Investment Landscape: Trends, Strategies & Insights

The Asian private investment market has experienced significant growth in recent years, driven by factors such as regional economic expansion, evolving regulatory landscapes, and increasing investor appetite for alternative...more

UK FCA Proposes Reinstating ‘Payment Bundling’ for Investment Research and Trade Execution

Acknowledging that high-quality, easily available investment research supports deep capital markets, listed companies, and economic growth, the UK Financial Conduct Authority (FCA) recently issued a consultation paper...more

AIFMD II Enters into Force: Key Changes to EU Fund Regime

After several years of negotiations between the European Commission, European Council, and European Parliament following the publication of the initial draft proposal in November 2021, AIFMD II was published in the Official...more

Understanding EU and UK Climate Disclosure and Anti-Greenwashing Regimes

Amid a rise of environmental, social, and governance (ESG) investing and initiatives, the European Union and United Kingdom have set their sights on efforts to combat greenwashing in the financial sector. Regulations...more

UK Sustainability Disclosure Requirements and Investment Labels Regime to Launch in Coming Months

The new UK Financial Conduct Authority (FCA) sustainability disclosure requirements (SDR) and investment labels regime for managers of funds launches in July 2024, with a phased application through to December 2026. The SDR...more

The Trends—and Traps—that Will Shape 2024

At a time marked by themes of “push” and “pull,” organizations across all sectors and jurisdictions are grappling with the pursuit of innovation within an increasingly complex regulatory framework. Over the next 12 months,...more

Corporate Sustainability Reporting Obligations in the EU and UK

EU-corporations and non-EU corporations should prepare for new sustainability reporting obligations under the European Corporate Sustainability Reporting Directive (CSRD). The United Kingdom continues to develop its own...more

The Trends—and Traps—that Will Shape 2023

The last few years have thrown many surprises at businesses. Organizations across all sectors have faced inflation, global conflicts, supply chain challenges, a pandemic, and continually changing government policies. In 2023,...more

UK Asset Managers: FCA Proposes New Sustainability Disclosure and Labelling Requirements

The UK Financial Conduct Authority (FCA) recently published its consultation paper, CP22/20, on the use of Sustainability Disclosure Requirements (SDR) and investment labelling. The consultation paper proposes rules to help...more

UK Government to Modify Default Fund Charge Cap for Defined Contribution

Kwasi Kwarteng, the Chancellor of the Exchequer of the new UK government led by Prime Minister Liz Truss, presented his “Growth Plan 2022” to Parliament last Friday 23 September 2022. The Growth Plan 2022 outlines the UK...more

UK Commodity Derivatives Regime: FCA Not Enforcing Position Limits as HM Treasury Consults on Changes

The UK Financial Conduct Authority (FCA) announced on July 9 that, while changes to the scope of the UK commodity position limits regime are being consulted on, it will not take enforcement action against firms that breach...more

The Regulatory Overlay On ESG Investing

This White Paper highlights the legal and regulatory considerations in the United States, the United Kingdom, the European Union, Hong Kong, and Singapore that asset managers and their institutional investor clients should...more

As EU Considers Rebundling Certain Research Payments, US Firms Eye Knock-on Effects

The European Commission recently launched a consultation on a proposal that would allow investment firms to rebundle payments for research on small- and mid-cap issuers and fixed income instruments, to aid in the recovery...more

8/13/2020  /  EU , Investment Firms , MiFID II , SIFMA

SM&CR and COVID-19: UK Regulators’ Expectations

The UK Financial Conduct Authority and Prudential Regulation Authority have published statements setting out their expectations of dual-regulated and solo-regulated firms on their senior managers and certification regime...more

Coronavirus (COVID-19): UK FCA Helps Firms Identify Key Financial Services Employees

While offering guidance on which financial services workers could be considered essential, the UK Financial Conduct Authority says that firms themselves are best placed to make those decisions. ...more

Coronavirus (COVID-19): UK FCA Issues Second Statement on Response to Pandemic

The UK Financial Conduct Authority (FCA) issued a further statement on 17 March elaborating usefully on its initial statement of 4 March (see our prior blog). ...more

Coronavirus (COVID-19): UK FCA and EU ESMA Issue Statements on Pandemic

The EU watchdog, The European Securities and Markets Authority (ESMA), which coordinates securities market supervision across the 27 countries of the European Union, announced on March 11 that it was prepared to use its...more

ESMA Publishes Advice on How Fund Managers and Investment Firms Should Integrate Sustainability Risks and Factors into Their...

The European Commission (the Commission) has made sustainable finance an express initiative within its overall plans to strengthen capital markets in the European Union. In July 2018, the Commission sought advice from the...more

UK Financial Conduct Authority Publishes Final Rules on Extending SMCR to Solo Regulated Firms

Following its consultation earlier this year, the UK Financial Conduct Authority has now published a policy statement setting out its final rules for extending the Senior Managers and Certification Regime to solo-regulated...more

UK Regulators Continue Focus on Cultural Accountability, Diversity in Financial Services Sector

In a global environment of heightened regulatory accountability and scrutiny, the Bank of England, Financial Stability Board, and Financial Conduct Authority have signalled their continued interest in promoting the need for...more

EMIR 2.1 Takes Effect Imminently: Implications for EU and Non-EU Asset Managers and Funds

Following an assessment by the European Commission (the Commission) of how the European Market Infrastructure Regulation (EMIR) has been working since it entered into force on 16 August 2012 and the phasing in of its various...more

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