News & Analysis as of

Alternative Investment Fund Managers Directive (AIFMD) Financial Conduct Authority (FCA) Banking Sector

Hogan Lovells

Financial institutions general regulatory news, August 2021 #2

Hogan Lovells on

FCA regulatory sandbox: new application guide and now always open The Financial Conduct Authority (FCA) has published a new guide to assist firms making a regulatory sandbox application. The FCA has also updated its webpage...more

A&O Shearman

The UK’s Expanded Senior Managers and Certification Regime: Key Issues and Action Plan for Brokers, Advisers and Asset Managers

A&O Shearman on

The expanded Senior Managers and Certification Regime (SM&CR), which comes into force on December 9, 2019, extends the framework regulating individuals charged with running certain financial institutions. The Banking SM&CR,...more

Latham & Watkins LLP

March 2018 Private Banking Newsletter: Issues Impacting the Private Bank Sector

Latham & Watkins LLP on

On 23 February 2018, the FCA published a Policy Statement with new perimeter guidance on what amounts to a personal recommendation in relation to advising on retail investments. The guidance came into effect on the same day. ...more

Katten Muchin Rosenman LLP

Bridging the Week - December 2014 #2

CFTC Commissioner Raises Ghost of HanMag Securities to Discuss Clearinghouse Risk Management Issues… Invoking the specter of the default of HanMag Securities Corporation on the Korea Exchange (KRX) last December...more

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