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European Union › Securities and Exchange Commission (SEC) › Financial Conduct Authority (FCA)

The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of... more +
The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -
Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 30

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Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Akin Gump Strauss Hauer & Feld LLP

Sustainability/ESG Policy and Regulatory Update

Akin Gump Strauss Hauer & Feld LLP on

Key topics in Akin’s July 2024 Sustainability/ESG Policy and Regulatory Update include: Updated Assessment of SFDR by EU Regulators: The European Supervisory Authorities have proposed changes to the Sustainable Finance...more

Mayer Brown Free Writings + Perspectives

Investment Research

Mayer Brown Free Writings + Perspectives on

During his remarks at a meeting of the International Bar Association’s Asset Management Industry Conference on Global Challenges and Opportunities in Boston, Commissioner Uyeda commented on investment research and the...more

Eversheds Sutherland (US) LLP

UK's FCA consults on payment optionality for investment research

Eversheds Sutherland (US) LLP on

The FCA consultation paper CP24/7 “Payment Optionality for Investment Research” considers the reintroduction of the bundling of research payments with broker’s execution fees....more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 25

Katten Muchin Rosenman LLP on

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 23

Katten Muchin Rosenman LLP on

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

BCLP

Stumbling Block? What is the Path Ahead for DeFi Through the Eyes of Policymakers?

BCLP on

DeFi development carried quietly on throughout 2023, but DeFi protocols also faced significant hurdles. In the US, the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) increased their...more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 22

Katten Muchin Rosenman LLP on

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

BakerHostetler

Swiss Banks Launch Crypto Offerings; GAO Addresses SEC Crypto Bulletin; UK and Hong Kong Publish Crypto Guidance; DOJ and SEC...

BakerHostetler on

Swiss Banks Launch Tokenization Pilot, Crypto Custody and Trading Services - A recent press release announced a pilot by “SIX, the Swiss National Bank (SNB) and six commercial banks” that seeks “to test, in a live...more

Proskauer Rose LLP

Taskforce on Nature-Related Financial Disclosures – New and Updated Nature Reporting Recommendations Published

Proskauer Rose LLP on

The NY Climate Week conference took place during the week of 18 September 2023, bringing together international leaders from business and governments. During the conference the Taskforce on Nature-related Financial...more

A&O Shearman

MiFID II and the U.S. Investment Adviser Regime

A&O Shearman on

The issue of how firms should pay for investment research continues to be a controversial topic in the financial markets. The U.S. has maintained the approach it adopted before the mid-2000s, which is to permit investment...more

Jones Day

Jones Day Cross-Border Investigations Series 2023 - Issue 1 : Whistleblowing

Jones Day on

While there are a number of ways in which organizations may become aware of potential wrongdoing internally, perhaps the most significant for its legal and compliance teams is internal reporting, or “whistleblowing,” by...more

Goodwin

Horizon Scan for Private Investment Funds: Key Recent and Expected Funds, Regulatory and Tax Developments to Look Out For

Goodwin on

Welcome to our January 2023 Horizon Scan, where we focus on some of the principal recent and expected developments and changes that we expect to be of interest to those in the non-listed funds sector. We have grouped the...more

Goodwin

The Sustainability Disclosure Requirements and Investment Labels Rules: Tougher ESG Standards for UK Private Fund Managers

Goodwin on

​​​​​​​In our previous client alert, FCA ESG Rules: The Next Deadline for UK Private Fund Managers, we noted the likely expansion of the Environmental, Social, and Governance Sourcebook (ESG Rules) of the UK Financial Conduct...more

Hogan Lovells

ESG Market Alert – October 2022

Hogan Lovells on

In this alert, we provide a round-up of the latest developments in ESG for UK corporates. In this month’s ESG Market Alert, we cover: The FCA and other market regulators’ criticism of ESG benchmarking...more

Dechert LLP

Upcoming Regulatory Initiatives Impacting Private Fund Managers - September 2022

Dechert LLP on

This latest edition of the regulatory initiatives paper sets out at a high level the core regulatory issues that are likely to impact private fund managers in the coming months, including an overview of the key actions needed...more

Paul Hastings LLP

Daily Financial Regulation Update -- Wednesday, June 15, 2022

Paul Hastings LLP on

Congress- U.S. Senate- Committee on Banking, Housing, and Urban Affairs- Hearing: Considering the Index Fund Voting Process-...more

Hogan Lovells

Global Payments Newsletter, March 2022

Hogan Lovells on

Key developments of interest over the last month include: In this Newsletter: For previous editions of the Global Payments Newsletter, please visit our Financial Services practice page. On 9 March 2022, President Biden signed...more

Akin Gump Strauss Hauer & Feld LLP

[Podcast] ESG Litigation in the UK and EU: What You Need to Know

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In this episode, Akin Gump litigation partner Richard Hornshaw and counsel Aimee Smart look at the litigation aspects of environmental, social and governance, or ESG, issues in the U.K. and EU....more

Dechert LLP

Upcoming Regulatory Initiatives Impacting Private Fund Managers - April 2021

Dechert LLP on

This note sets out at a high level the core regulatory issues that are likely to impact fund managers in the coming months, including an overview of the key actions needed with regard to ESG, LIBOR and Brexit. The paper also...more

Hogan Lovells

Financial institutions general regulatory news, February 2021 # 4

Hogan Lovells on

Operational resilience: developments in the financial services sector in the UK - In recent years, operational resilience has come under the spotlight of financial regulators globally, leading to a proliferation of new...more

Akin Gump Strauss Hauer & Feld LLP

ESG Disclosures: Guiding Principles and Best Practices for Investment Managers

Akin Gump Strauss Hauer & Feld LLP on

Whether preparing or reviewing Environmental, Social, and Governance (ESG) disclosures for compliance with regulatory requirements in the EU, the United Kingdom (UK) or the United States (US), or for alignment with ESG best...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on New Position Limits Requirements and Amended Margin Requirements From...

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CFTC - CFTC Adopts New Position Limits Requirements - On October 15, the Commodity Futures Trading Commission adopted new rules on position limits. As described in greater detail in Katten’s advisory, CFTC Adopts New...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Additional LIBOR Replacement Materials from the ARRC, Amendments to...

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BROKER-DEALER - FINRA Announces Updates to Interpretations of Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts - On July 2, the Financial Industry Regulatory Authority (FINRA) issued...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest Featuring Articles on SEC Issues Four FAQs on Conditional Relief Order, FINRA and NASAA Report...

Katten Muchin Rosenman LLP on

SEC/CORPORATE - SEC Division of Corporation Finance Issues Four FAQs Addressing the SEC’s Conditional Relief Order - On May 4, the Securities and Exchange Commission’s Division of Corporation Finance (the Division)...more

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