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UK FCA, PRA and BoE publish discussion paper (DP5/22) on AI and machine learning

In the discussion paper, the UK financial supervisory authorities have not provided a new legal framework or their intended future approaches for regulating the use of AI and machine learning in financial services. However,...more

Financial Institutions Horizons 2022

At our recent global conference we held in partnership with Global Digital Finance, our keynote speaker suggested that the three major drivers for financial institution regulators and policy makers for the next few years...more

Have you responded to the FCA's IFPR Questionnaire?

The FCA has been sending out requests to Investment Firms asking them to provide responses to the FCA's Investment Firms Prudential Regime (IFPR) Questionnaire, ahead of IFPR implementation on 1 January 2022. Responses are...more

Asset Tokenisation: On Blockchain Securitisation

Hogan Lovells was an associate sponsor of the Global ABS 2021 Conference held in London. Partners Sharon Lewis (Head of Financial Institutions Sector) and Michael Thomas (a partner in the financial services team), alongside...more

HMT confirms no more open access for exchange-traded derivatives

On 5 May 2020, the HM Treasury confirmed that it plans to remove the open access regime for exchange-traded derivatives (ETDs), which is currently within the UK version of the Markets in Financial Instruments Regulation (UK...more

UK FCA consults on changes to MiFID II research and best execution reporting requirements

The Financial Conduct Authority (FCA) has published a consultation paper, CP21/9, on some initial changes to its conduct and organisational requirements implementing the EU Markets in Financial Instruments Directive (MiFID...more

SMCR Directory of certified and assessed persons – have you submitted your data?

The Financial Conduct Authority (FCA) is contacting thousands of firms across various sectors that appear to have missed the 31 March 2021 deadline for submitting “Directory person” data. ...more

MiFID II Quick Fix – overview and further MiFID II review process (Deutsche and English)

As a reaction to the coronavirus and the associated disruptions, the European Commission published its Capital Markets Recovery Package on 24 July 2020. In addition to proposals for amendments to the Prospectus Regulation and...more

SMCR: UK FCA extends implementation periods for solo-regulated firms

The UK Financial Conduct Authority (FCA) has extended the deadline for solo-regulated firms to undertake their first assessment of the fitness and propriety of their certified persons under the senior managers and...more

COVID-19: Measures taken by financial supervisory authorities in certain jurisdictions - as at 17 April 2020

The current situation is fast-moving in light of the COVID-19 pandemic. Many financial supervisory and regulatory authorities as well as local governments have issued measures which are relevant for financial institutions...more

COVID-19: ESMA clarifies position on MiFID II call recording

The European Securities and Markets Authority (ESMA) has published a public statement to clarify issues regarding the application to firms of the MiFID II requirements on the recording of telephone conversations.   ESMA...more

Debt Capital Markets – Global Insights – Spring 2020

We are delighted to present the Spring 2020 edition of Hogan Lovells’ Debt Capital Markets Global Insights. This draws together a collection of articles from across our global network, reflecting on current events and topical...more

FCA extends Temporary Permissions Regime deadline to 30 October 2019

The Financial Conduct Authority (FCA) has confirmed that the deadline for notifications for the temporary permissions regime (TPR) will be extended to the end of 30 October 2019....more

The FCA consults on amendments to the SMCR: Excludes Head of Legal from the Senior Managers Regime and clarifies the scope of the...

On 23 January 2019, the Financial Conduct Authority (FCA) published a consultation paper (CP19/4) on optimising the Senior Managers and Certification Regime (SMCR). This paper consults on a range of proposed amendments and...more

Brexit and contractual continuity

On 8 January 2019 the FCA published a consultation paper, CP19/2, which sets out details of the financial services contracts regime (FSCR) and the rules the FCA proposes should apply to firms during the regime....more

UK: The FCA consults on new SM&CR guidance on statements of responsibilities and responsibilities maps

On 11 October 2018, the FCA published a guidance consultation for FCA-authorised firms on preparing statements of responsibilities and responsibilities maps under the Senior Managers and Certification Regime (SM&CR)....more

A look at how Blockchain could redefine the structure of the capital markets

Could blockchain redefine the structure of the capital markets? The venue for trading and the management of risks of trades have traditionally been the role of exchanges and market infrastructure organizations such as the...more

The Senior Managers and Certification Regime: An Introduction for Private Equity Firms

The Senior Managers and Certification Regime (SMCR) is a regime which governs the appointment and conduct of senior and key personnel at impacted firms. For banks, building societies and PRA-authorised investment firms, the...more

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