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UK Regulators Set Out Policy Proposals on Misconduct; Diversity and Inclusion

The FCA and the PRA have published their long-awaited consultations which aim to formalise how firms approach diversity and inclusion. On 25 September 2023, the FCA and the PRA published separate but related consultation...more

EU Consults on Plans for a New Regulatory Regime for ESG Ratings Providers

An evolving landscape of reforms in the ESG ratings sector continues to pose challenges to providers of ratings and scores. International momentum to regulate ESG ratings continues as the European Commission released a...more

UK Government Consults on Regulation of ESG Ratings Providers

The consultation considers what a potential regulatory regime would look like, and its proposed scope. On 30 March 2023, HM Treasury published a consultation on regulating ESG ratings providers, which ties in with and...more

Second FCA Consultation on New Prudential Regime for Investment Firms

Latest FCA consultation focuses on remuneration, risk management and governance, and liquidity requirements. Key Points: The consultation: ..Sets out the FCA’s proposals for the new remuneration rules for FCA...more

New Draft Regulatory Technical Standards Under the EU Benchmarks Regulation

The draft RTS introduce new, potentially more onerous obligations on the administrators of all categories of benchmarks. Key Points: ..The draft RTS contain new guidance that makes clear who is responsible for which...more

Key Takeaways from ESMA’s recent MiFID Transparency Consultation Papers

ESMA’s consultation papers on MiFID non-equities SI and equities transparency regimes propose important changes. Key Points: ..ESMA’s recent consultation papers on the MiFID transparency regime raise queries and make...more

FCA Consults on SMCR for Benchmark Administrators

The FCA has published a Consultation Paper that sets out proposed rules for the SMCR for benchmark administrators. Key Points: ..The SMCR for benchmark administrators (that perform no other regulated activities) will...more

Review of the EU Benchmarks Regulation

European Commission review will inform potential future legislative change. Key Points: ..The European Commission is seeking views on various aspects of the regime, and asking for feedback on areas in which improvements...more

Private Bank Briefing: Issues Impacting the Private Bank Sector

On 23 January 2019, the FCA published a Consultation Paper (CP19/4) concerning further amendments to the Senior Managers and Certification Regime (SMCR). For private banks which are already subject to the SMCR, the...more

Next Steps in the Asset Management Market Study

FCA publishes final rules and further consultation on outstanding remedies under its asset management market study. Key Points: ..The FCA has published a Policy Statement (PS18/8) setting out final rules and guidance...more

Policing the Robots — Robo-Advice Under MiFID II

Do robots give suitable advice? ESMA proposes updates to suitability guidelines to address robo-advice. Given the technological evolution of the advice market, firms offering a robo-advice service are faced with a...more

FCA Publishes Long-Awaited Consultation Papers on the Extension of the SMCR

The FCA will take a proportionate approach, reflecting the diversity of firms within the proposed regime’s remit. On 26 July 2017, the FCA published its long-awaited Consultation Papers on the extension of the Senior...more

MiFID II – Second Policy Statement and Further Consultation

The FCA has published its second Policy Statement on MiFID II implementation, plus a further Consultation Paper on residual issues. Key Points: ..The FCA has made significant changes to some proposals, particularly in...more

FCA Consults on UK Implementation of EU Benchmarks Regulation

FCA proposes amendments to UK rules and clarifies timing for applications by benchmark administrators. Key Points: ..The FCA is consulting on consequential changes to the Handbook, plus additional UK aspects of...more

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