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UK Operational Resilience In Times of Crisis: Matters to consider in the midst of the Coronavirus pandemic

The Coronavirus outbreak has presented UK financial services firms (as well as other businesses) with sudden and significant challenges. Various responses have been and are being initiated by the relevant authorities. ...more

UK Financial Services Regulatory Responses to the Coronavirus Crisis: The key things you should know

Following our previous update on the various regulatory responses to the Coronavirus crisis, we set out here a summary of the key developments that have materialised since. As we observed in our previous update, there are two...more

UK Financial Services Regulatory Responses to the Coronavirus Crisis: The key things you should know

The impact of the Coronavirus crisis has been sudden and steep in the UK. There has been a huge number of announcements and initiatives of relevance to the UK financial services industry. We have selected the key items that...more

Emerging Themes in Financial Regulation 2020

Under the Senior Managers and Certification Regime (“SMCR”), firms are required to identify and report to the FCA any instances of disciplinary action taken in relation to conduct that would amount to a breach of one of the...more

2020 Funds First Update - February 2020

Welcome to our Funds First Update. In this briefing we set out an overview of some of the main developments and upcoming changes that we think will be of impact to fund managers, fund investors and to the funds sector as a...more

Investment Firms: A new prudential framework

What is it? The EU has finalised and issued a new framework for the prudential regulation of investment firms. It will set new classification for investment firms that will in turn determine which of the new capital...more

Funds First seminar – responding to a regulatory incident in the new world of SMCR

At our recent Funds First seminar we shared some technical and market issues and updates on the Senior Managers and Certification Regime (SMCR) and the FCA’s current cross-sector focus on culture. This briefing sets out some...more

Reducing barriers to the cross-border distribution of investment funds – AIFMD rules now finalised

In March 2018 the European Commission published a draft package of measures aimed at reducing barriers to the cross-border distribution of investment funds. The proposed approach involves aligning the rules between different...more

Saving the Crown Jewels in a post-Brexit world

The financial services industry is often referred to as the jewel in the crown of the UK, but as the possibility of a “no-deal” draws ever closer, what measures are being put in place to ensure that the financial services...more

Spring Funds First Update

Welcome to our Funds First Update. Whilst a lot of focus at present is on Brexit and the uncertainties surrounding that process, there have been a great many other developments in the past few months that are of relevance to...more

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