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Applications Financial Conduct Authority (FCA)

BCLP

September 1st Implementation of FINRA Rule 1017(a)(7)

BCLP on

Recap of FINRA Rule 1017(a)(7) - If you recall from our May 11th alert, effective September 1, 2021, FINRA Rule 1017(a)(7) will require a member firm to file a CMA when a natural person seeks to become an owner, control...more

Hogan Lovells

Round 2: the FCA unveils the second cohort of its regulatory sandbox

Hogan Lovells on

On 15 June 2017, the FCA revealed that 31 firms have been admitted into the second cohort of its regulatory sandbox. The sandbox was launched last year as part of the FCA's Project Innovate and creates a "safe space" for...more

Hogan Lovells

10 Practical tips for a smooth FCA application process

Hogan Lovells on

The road to FCA authorisation can sometimes seem a long one, but take in some of our top tips for FinTechs travelling this road for the first time to help smooth the ride....more

Dechert LLP

New Deadline set for FCA Applications for New Permissions under the Alternative Investment Fund Managers Directive

Dechert LLP on

UK asset managers may have understood that they had until July 2014 to apply to become Alternative Investment Fund Managers (AIFMs) under the AIFM Directive (AIFMD). However, in a recent statement, the UK Financial Conduct...more

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