News & Analysis as of

European Union › Financial Services Authority › Financial Conduct Authority (FCA)

The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of... more +
The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -
K&L Gates LLP

Serious Fraud Office Closes Forex Investigation

K&L Gates LLP on

The Serious Fraud Office (SFO) recently announced that it had closed its criminal investigation into allegations of fraudulent conduct in the foreign exchange (FX) market. The SFO began its investigation in July 2014...more

Dechert LLP

Financial Services Quarterly Report - Second Quarter 2013: UK: New Regulators; New Powers

Dechert LLP on

The UK Financial Services Authority (“FSA”) was abolished on 1 April 2013 and replaced by three new regulators. The Financial Services Act 2012 introduced the Financial Conduct Authority (“FCA”), the Prudential Regulatory...more

Dechert LLP

Has the FCA started as it means to go on?

Dechert LLP on

Has the Financial Conduct Authority (“FCA”) in the UK started as it means to go on? The FCA recently fined a UK subsidiary of a private Swiss Bank for failing to establish and maintain effective anti-money laundering controls...more

Orrick - Finance 20/20

FCA Urges Firms to Update Status Disclosures to Reflect Creation of the FCA and PRA

Orrick - Finance 20/20 on

On May 1, the FCA published a press release stating that it expects firms to review their regulatory status disclosures as a priority and ensure that they are up to date and accurate following the creation of the FCA and PRA...more

Morgan Lewis

New UK Financial Regulation Architecture Takes Effect

Morgan Lewis on

The Financial Conduct Authority and the Prudential Regulation Authority begin work as the two new regulators in the wake of the long-heralded abolition of the Financial Services Authority....more

Dechert LLP

European Securities and Markets Authority Guidelines on Sound Remuneration Policies under the AIFMD

Dechert LLP on

More than seven months after publishing its consultation paper, the European Securities and Markets Authority (ESMA) recently published final guidelines (Guidelines) on sound remuneration policies under the Alternative...more

Proskauer Rose LLP

UK Regulators Propose Implementing Rules and Regulations on AIFMD

Proskauer Rose LLP on

On 19 March 2013, the UK Financial Services Authority (FSA) published Part II (CP2) of its three-part consultation series on Implementation of the Alternative Investment Fund Managers Directive (AIFMD). The consultation...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review - March 25, 2013

Orrick, Herrington & Sutcliffe LLP on

In This Issue: *Financial Industry Developments - Agencies Issue Updated Leveraged Lending Guidance - CFTC No-Action Relief from Required Clearing for Some Partial Swap Novations and Terminations - FHFA...more

Katten Muchin Rosenman LLP

FSA Updates Guide to the New PRA and FCA Handbooks

Katten Muchin Rosenman LLP on

On February 19, the UK Financial Services Authority (FSA) published an updated “one-minute guide” summarizing the changes to the FSA Handbook that will come into effect when the FSA’s two successor regulatory bodies, the...more

Katten Muchin Rosenman LLP

Preparing for UK Regulatory Change: An Overview of the New Framework

Katten Muchin Rosenman LLP on

In the aftermath of the 2008 financial crisis, all of the major political parties in the UK proposed significant change to the system of financial regulation. On election in 2010, the coalition government set out its belief...more

10 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide