Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
4/10/2024
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Anti-Money Laundering ,
Cryptoassets ,
Economic Sanctions ,
ELTIF ,
Environmental Social & Governance (ESG) ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Investment Funds ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Regulatory Standards ,
Transparency ,
UCITS ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
Key developments in December 2023:
21 December -
UK / Swiss Regulatory...more
1/4/2024
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Bonds ,
Cryptoassets ,
Decentralized Finance (DeFi) ,
Derivatives ,
ELTIF ,
EMIR ,
Environmental Social & Governance (ESG) ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Policy Committee ,
Financial Services Industry ,
FSMA ,
MiFID II ,
MiFIR ,
Office of Financial Sanctions Implementation (OFSI) ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Popular ,
Prudential Regulation Authority (PRA) ,
SFDR ,
Taxonomy ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
...more
12/5/2023
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Artificial Intelligence ,
Basel Committee on Banking Supervision (BCBS) ,
Capital Requirements Regulation (CRR) ,
Cryptoassets ,
EMIR ,
Environmental Social & Governance (ESG) ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Greenwashing ,
Infrastructure ,
Investment Firms ,
MiFID ,
MiFID II ,
Over The Counter Derivatives (OTC) ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Regulatory Agenda ,
Short Selling ,
Tokenization ,
UCITS ,
UK
Fund Tokenisation: The Financial Conduct Authority (“FCA”) published a press release announcing that it has joined the Monetary Authority of Singapore’s Project Guardian, a collaborative initiative with the financial industry...more
11/7/2023
/ Artificial Intelligence ,
Asset Tokens ,
Capital Requirements ,
Cryptoassets ,
Environmental Social & Governance (ESG) ,
EU ,
EURIBOR ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Handbooks ,
Machine Learning ,
Market Abuse ,
MiFID II ,
MiFIR ,
New Regulations ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Prudential Regulation Authority (PRA) ,
Securities ,
Task Force on Climate-related Financial Disclosures (TCFD) ,
UK
31 July -
ESG: The European Commission adopted a Commission Delegated Regulation, setting out the first set of European Sustainability Reporting Standards (“ESRS”), together with a Q&A (see press release). The ESRS specify...more
8/10/2023
/ Artificial Intelligence ,
Capital Requirements ,
Cryptoassets ,
EMIR ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Services Industry ,
FSMA ,
Investment Firms ,
Libor ,
Liquidity ,
Marketing ,
MiFID II ,
Money Market Funds ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Prudential Regulation Authority (PRA) ,
Risk Management ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
6/6/2023
/ Alternative Investment Fund Managers Directive (AIFMD) ,
AML/CFT ,
Cryptoassets ,
ELTIF ,
ESRB ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Libor ,
MiFID II ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Risk Management ,
SFDR ,
UCITS
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
Key developments in May 2022:
31 May -
Key developments in May 2022: The European...more
6/13/2022
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Bank of England ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Regulatory Agenda ,
SFDR ,
UCITS ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. ...more
2/3/2022
/ Bank Recovery and Resolution Directive (BRRD) ,
Cryptoassets ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Services Industry ,
Investment ,
MiFID II ,
Money Laundering ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Regulatory Agenda ,
Structured Financial Products ,
UCITS ,
UK ,
UK Brexit
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. ...more
1/6/2022
/ Alternative Investment Fund Managers Directive (AIFMD) ,
AML/CFT ,
Central Counterparties ,
CSDR ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Services Industry ,
MiFID ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Prudential Regulation Authority (PRA) ,
SMCR ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. ...more
10/6/2021
/ EU ,
European Securities and Markets Authority (ESMA) ,
European Supervisory Authorities (ESAs) ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
Financial Services Industry ,
FSB ,
MiFID II ,
MiFIR ,
Money Laundering ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Payment Systems Regulator (PSR) ,
Policy Statement ,
Prudential Regulation Authority (PRA) ,
Regulation Technical Standards (RTS) ,
Regulatory Agenda ,
UK
1 February -
The Financial Conduct Authority ("FCA") published a press release announcing that it has agreed with the European Securities and Markets Authority ("ESMA") and other European Union securities regulators...more
3/5/2019
/ Data Protection ,
EIOPA ,
EU ,
European Securities and Markets Authority (ESMA) ,
EuSEF ,
EuVECA ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Libor ,
MiFID II ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
UK ,
UK Brexit
1 October -
The Competition and Markets Authority ("CMA") published a paper that was prepared jointly with the Financial Conduct Authority ("FCA") setting out the lessons that have been learned from the programme of work...more
11/2/2018
/ Alternative Investment Fund Managers Directive (AIFMD) ,
EU ,
European Securities and Markets Authority (ESMA) ,
European Supervisory Authorities (ESAs) ,
Financial Conduct Authority (FCA) ,
Investment Adviser ,
Key Information Document (KIDs) ,
MiFID II ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
UK ,
UK Competition and Markets Authority (CMA)
1 January -
The Packaged Retail and Insurance-based Investment Products ("PRIIPs") Regulation (1286/2014) (the "PRIIPs Regulation") came into force on 1 January 2018. This includes an obligation on PRIIP manufacturers to...more
2/1/2018
/ Anti-Money Laundering ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Insurance Industry ,
MiFID II ,
MLD4 ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
UK ,
UK Brexit ,
UK Payment Systems Regulator ,
Withdrawal
1 December -
The Financial Conduct Authority (FCA) published its 19th quarterly consultation paper (CP17/39). The proposed changes to the FCA Rules include changes to the FCA's Decision Procedure and Penalties manual,...more
1/5/2018
/ Alternative Investment Fund Managers Directive (AIFMD) ,
E-Signatures ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Markets ,
Insurance Industry ,
Key Information Document (KIDs) ,
MiFID II ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
UCITS ,
UK ,
UK Competition and Markets Authority (CMA)
3 November -
The Financial Conduct Authority (FCA) published an alert setting out key considerations for principals who have appointed representatives or introducer appointed representatives. Among other things, the alert...more
12/6/2017
/ Best Practices ,
Broker-Dealer ,
Competition ,
Due Diligence ,
EU ,
European Securities and Markets Authority (ESMA) ,
European Supervisory Authorities (ESAs) ,
EuVECA ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Information Commissioner's Office (ICO) ,
Investment Adviser ,
Key Information Document (KIDs) ,
Legal Entity Identifiers ,
MiFID II ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
UK ,
UK Competition and Markets Authority (CMA)
1 September -
The Prudential Regulation Authority (PRA) updated its April 2017 public disclosure with Template A (Disclosure of Aggregate Statistical Data with regard to Insurance and Reinsurance Undertakings) and Template...more
10/11/2017
/ EU ,
European Securities and Markets Authority (ESMA) ,
EuSEF ,
EuVECA ,
Financial Conduct Authority (FCA) ,
Financial Solvency ,
Initial Coin Offering (ICOs) ,
Key Information Document (KIDs) ,
Legal Entity Identifiers ,
MiFID II ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Payment Services Directive ,
Policy Statement ,
Proposed Regulation ,
Prudential Regulation Authority (PRA) ,
PSD2 ,
Public Disclosure ,
UK ,
UK Brexit ,
UK Competition and Markets Authority (CMA)
2 May -
The FCA published its Policy Statement on the FCA's disclosure rules following application of PRIIPs Regulation (PS17/6). The Policy Statement sets out how the FCA's disclosure requirements will change to reflect...more
6/5/2017
/ Acquisitions ,
AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Alternative Investment Funds ,
Anti-Money Laundering ,
CRD IV Directive ,
EMIR ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Facebook ,
Financial Conduct Authority (FCA) ,
Merger Controls ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Remuneration ,
UK ,
WhatsApp
Key developments in April 2017: 3 April -
The FCA published its Consultation Paper on persistent debt and earlier intervention remedies, “Reforming the availability of information in the UK equity IPO process”...more
5/1/2017
/ AIF ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Distributed Ledger Technology (DLT) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Key Information Document (KIDs) ,
MiFID II ,
MiFIR ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Payment Services Directive ,
Private Fund Limited Partnerships (PFLPs) ,
Prudential Regulation Authority (PRA) ,
RTS ,
UK ,
UK Brexit ,
Whistleblowers