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Cancelled in March 2024: Requirements for UK High Net Worth and Self-Certified Investors Changing From 31 January 2024

This post is an update of a previous post. On 27 March 2024, government legislation (Financial Services and Markets Act 2000 (Financial Promotion) (Amendment and Transitional Provision) Order 2024 (SI 2024/301), the “March...more

FCA Proposal: New requirement to provide criminal background checks on owners and controllers from January 2025

In July 2024, the UK’s Financial Conduct Authority (“FCA”) published its “Quarterly Consultation Paper No. 44” (“Consultation”), which proposed introducing a requirement to provide criminal background checks on owners and...more

King’s Speech 2024: A Renewed Plan for a Football Regulator

On 17 July 2024, the King of the United Kingdom delivered a speech to mark the opening of a new UK Parliament (the “Speech”). The Speech set out the new UK Government’s priorities, following their election victory. This...more

FRC Announces Interim Changes to UK Stewardship Code Reporting Requirements

On 22 July 2024, the Financial Reporting Council (“FRC”) announced interim changes to the reporting requirements for existing signatories to the UK Stewardship Code. These updates precede any updates arising from a wider...more

UK Listing Rules Reform: Seeking to Boost Competitiveness

On 11 July 2024, the United Kingdom’s Financial Conduct Authority (“FCA”) published its final rules (PS24/6) for a new, simplified and more competitive UK listing regime (the “Rules”).The FCA’s overall aim is to create a more...more

Regulation Round Up - June 2024

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

Consumer Duty Implementation for Insurance Firms: Good and Poor Practice

On 26 June 2024, the United Kingdom’s Financial Conduct Authority (“FCA”) published the findings of its multi-firm review of how insurance firms are implementing the Consumer Duty. In particular, the FCA was seeking to...more

The FCA’s Agenda for UK Asset Management

Background - On 23 May 2024, Ashley Alder, the Chair of the UK Financial Conduct Authority (“FCA”), delivered a speech which outlined the regulator’s agenda for the asset management sector (the “Speech”). In particular,...more

The Anti-Greenwashing Rule Comes Into Force: A Legal Lens

On 31 May 2024, a new anti-greenwashing rule is being introduced by the Financial Conduct Authority (the “FCA”) as part of its Sustainability Disclosure Requirements (“SDR”). We cover here the introduction of the FCA’s...more

European Commission Publishes Summary of SFDR Consultation Responses

On 3 May 2024, the European Commission published a summary of the 2023 consultation on the EU Sustainable Finance Disclosure Regulation (“SFDR”) (the “Summary”)....more

Regulation Round Up - April 2024

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

One month to go until the FCA’s anti‑greenwashing rule comes into force

On 31 May, 2024, a new anti‑greenwashing rule is being introduced by the Financial Conduct Authority (the “FCA”) as part of its Sustainability Disclosure Requirements (“SDR”). However, the FCA has only recently published...more

Consumer Duty Implementation: Good Practice and Areas for Improvement

On 20 February 2024, the United Kingdom’s Financial Conduct Authority (“FCA”) published guidance (the “Guidance”) on the implementation of the Consumer Duty. The Consumer Duty came into force for “open” products and...more

Requirements for UK High Net Worth and Self-Certified Investors Changing From 31 January 2024

From 31 January 2024 the exemptions available from the restriction on communicating financial promotions appliable to high net worth (“HNW”) individuals and self-certified investors are changing. The updates are...more

Corporate Sustainability Due Diligence Directive – initial agreement of final text

On 14 December 2023, there was an initial agreement by the EU Parliament and the EU Council on the final text of the Corporate Sustainability Due Diligence Directive (“CSDDD”). CSDDD is a significant and impactful piece...more

IFPR – FCA Publishes Final Report on Implementation

On 27 November 2023, the United Kingdom’s Financial Conduct Authority (“FCA”) published its final report (the “Report”) on its multi-firm review into firms’ progress in implementing the internal capital adequacy and risk...more

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