Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
3/10/2025
/ Alternative Investment Funds ,
Artificial Intelligence ,
Asset Management ,
Cryptoassets ,
Disclosure Requirements ,
Economic Growth ,
Economic Sanctions ,
Environmental Social & Governance (ESG) ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Reform ,
Financial Services Industry ,
Investors ,
Popular ,
Prudential Regulation Authority (PRA)
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
2/5/2025
/ Artificial Intelligence ,
Cryptoassets ,
Digital Operational Resilience Act (DORA) ,
EMIR ,
Environmental Social & Governance (ESG) ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
FSMA ,
Listing Rules ,
MiFIR ,
Office of Foreign Assets Control (OFAC) ,
Regulatory Agenda ,
UK
Following the turn of the new year, our UK Regulatory specialists have examined the key regulatory developments in 2025 impacting a range of UK and European firms within the financial services sector. The key dates have been...more
1/16/2025
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Anti-Money Laundering ,
Asset Management ,
Compliance ,
Cryptoassets ,
Digital Operational Resilience Act (DORA) ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Regulatory Reform ,
Financial Services Industry ,
MiFID II ,
Money Market Funds ,
Regulatory Agenda ,
Securities Regulation ,
SFDR ,
Sustainability ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
1/6/2025
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Corporate Governance ,
CPTPP ,
Cryptoassets ,
Dear Colleague Letter ,
Digital Operational Resilience Act (DORA) ,
EU ,
European Benchmark Regulation (BMR) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Reform ,
FSMA ,
MiFID II ,
MiFIR ,
Prudential Regulation Authority (PRA) ,
SFDR ,
UK ,
UK Competition and Markets Authority (CMA)
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
11/6/2024
/ Appeals ,
Artificial Intelligence ,
Cryptoassets ,
Economic Sanctions ,
ELTIF ,
Environmental Social & Governance (ESG) ,
EU ,
European Commission ,
False Claims Act (FCA) ,
Financial Services Industry ,
FSMA ,
MiFID II ,
MiFIR ,
Prudential Regulation Authority (PRA) ,
Regulatory Requirements ,
SFDR ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
10/7/2024
/ Artificial Intelligence ,
Cryptoassets ,
ELTIF ,
Enforcement ,
Environmental Social & Governance (ESG) ,
European Banking Authority (EBA) ,
European Central Bank ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
Office of Financial Sanctions Implementation (OFSI) ,
Prudential Regulation Authority (PRA) ,
Sanctions ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
8/7/2024
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Artificial Intelligence ,
Capital Requirements Regulation (CRR) ,
Cryptoassets ,
ELTIF ,
Environmental Social & Governance (ESG) ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
International Competition Network ,
Listing Rules ,
MiFID II ,
MiFIR ,
Prudential Regulation Authority (PRA) ,
SFDR ,
Sustainability ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
Key developments in June 2024:
28 June
PRIIPs Regulation: The Joint Committee...more
7/5/2024
/ AML/CFT ,
Anti-Money Laundering ,
Cryptoassets ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Supervisory Authorities (ESAs) ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Regulatory Reform ,
New Regulations ,
Proposed Regulation ,
Regulatory Agenda ,
UK
Key developments in May 2024: ESG: The Financial Conduct Authority (“FCA”) updated its webpage on the sustainability disclosure requirements (“SDR”) and investments labelling regime. Among other things, the webpage has been...more
6/12/2024
/ AML/CFT ,
Anti-Money Laundering ,
Artificial Intelligence ,
Asset Management ,
Capital Markets ,
Capital Requirements Directive IV (CRDIV) ,
Cryptoassets ,
Disclosure Requirements ,
EMIR ,
Enforcement ,
Environmental Social & Governance (ESG) ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Investment ,
MiFID II ,
MiFIR ,
Office of Financial Sanctions Implementation (OFSI) ,
Prudential Regulation Authority (PRA) ,
Regulatory Standards ,
Retail Investors ,
Securitization ,
Sustainability ,
UK
Financial Markets Infrastructure: The Bank of England published a speech by Sasha Mills, Executive Director, Financial Market Infrastructure, on operational resilience and its expectations of financial market infrastructures...more
5/9/2024
/ Artificial Intelligence ,
Cryptoassets ,
ELTIF ,
EMIR ,
Environmental Social & Governance (ESG) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
Financial Markets ,
Infrastructure ,
Investment ,
IOSCO ,
MiFID II ,
Private Equity ,
Regulatory Agenda ,
UK
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 UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
3/5/2024
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Anti-Money Laundering ,
Artificial Intelligence ,
Commission Delegated Regulation ,
Cryptoassets ,
Diversity and Inclusion Standards (D&I) ,
Environmental Social & Governance (ESG) ,
EU ,
EU Benchmark Regulation ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Reporting Council (FRC) ,
FSMA ,
Libor ,
MiFID II ,
MiFIR ,
Money Market Funds ,
Prudential Regulation Authority (PRA) ,
Reporting Requirements ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
2/21/2024
/ AML/CFT ,
Cryptoassets ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
European Securities and Markets Authority (ESMA) ,
False Claims Act (FCA) ,
FinTech ,
Handbooks ,
MiFID II ,
MiFIR ,
OFR ,
Prudential Regulation Authority (PRA) ,
Securities Regulation ,
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
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
10/12/2023
/ Alternative Investment Fund Managers Directive (AIFMD) ,
AML/CFT ,
Capital Requirements Regulation (CRR) ,
Cryptoassets ,
Decentralized Finance (DeFi) ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Promotions ,
Financial Regulatory Agencies ,
FSMA ,
IMF ,
Implementing Technical Standards (ITS) ,
Libor ,
Mergers ,
Prudential Regulation Authority (PRA) ,
SFDR ,
UCITS ,
UK
On 7 September 2023, the United Kingdom’s Financial Conduct Authority (“FCA”) set expectations ahead of its new financial promotion rules for cryptoassets (which we wrote about here).
From 8 October 2023, new rules for...more
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
9/7/2023
/ AML/CFT ,
Capital Requirements Regulation (CRR) ,
Commission Delegated Regulation ,
Committee on Payments and Market Infrastructure (CPMI) ,
Cryptoassets ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
False Claims Act (FCA) ,
FSMA ,
Investment Adviser ,
Investment Firms ,
IOSCO ,
Money Market Funds ,
New Regulations ,
Proposed Rules ,
Regulation Technical Standards (RTS) ,
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
MiFIR / MiFID II: The European Parliament published a press release announcing it has reached provisional political agreement with the Council of the EU on the proposed amendments to the Markets in Financial Instruments...more
7/5/2023
/ AML/CFT ,
Capital Requirements Regulation (CRR) ,
Cryptoassets ,
CSDR ,
EMIR ,
Environmental Social & Governance (ESG) ,
EU ,
European Parliament ,
European Securities and Markets Authority (ESMA) ,
Exit Planning ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Agencies ,
Financial Services Industry ,
Handbooks ,
Investment Firms ,
Memorandum of Understanding ,
MiFID II ,
MiFIR ,
Prudential Regulation Authority (PRA) ,
Rulemaking Process ,
Serious Fraud Office (SFO) ,
SFTR ,
Transparency ,
UCITS ,
UK
We are 800+ lawyers serving clients from offices located in the leading financial and business centers in the Americas, Europe and Asia. The world’s leading organizations, companies and corporations choose us to be their...more
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 UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
Key developments in April 2023:
28 April FCA Handbook: The Financial Conduct...more
5/22/2023
/ Anti-Money Laundering ,
Artificial Intelligence ,
Asset Management ,
Bank Recovery and Resolution Directive (BRRD) ,
Capital Requirements Regulation (CRR) ,
CRD IV Directive ,
Cryptoassets ,
CSDR ,
Digital Assets ,
EMIR ,
Environmental Social & Governance (ESG) ,
European Banking Authority (EBA) ,
European Central Bank ,
Financial Conduct Authority (FCA) ,
FinTech ,
Illiquid Assets ,
Libor ,
UK
31 March -
SFTR: The European Securities and Markets Authority (“ESMA”) published an updated version of its Q&As (ESMA74-362-893) on complying with reporting requirements under the Regulation on reporting and transparency...more
4/10/2023
/ Amended Regulation ,
AML/CFT ,
Banking Sector ,
Basel Committee on Banking Supervision (BCBS) ,
Capital Markets ,
Cryptoassets ,
Distributed Ledger Technology (DLT) ,
EMIR ,
Environmental Social & Governance (ESG) ,
EU ,
EU Benchmark Regulation ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Reform ,
Financial Services Industry ,
MiFIR ,
Regulatory Agenda ,
Short Selling ,
UK