News & Analysis as of September 19, 2024

United Kingdom

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FCA cites price volatility and ‘FOMO’ in proposal to ban the sale of crypto-derivatives to retail clients

White & Case LLP on 7/11/2019

On 3 July 2019, the UK's Financial Conduct Authority published a consultation paper in which it proposed to prohibit the sale to all retail clients of derivatives and Exchange Traded Notes (ETNs) that reference certain types...more

Asset Management Regulatory Roundup - October 2017 - Issue 8

Dechert LLP on 10/18/2017

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on US-EU equivalence of certain OTC derivative rules; the FCA asset management...more

Your Daily Dose of Financial News

Robins Kaplan LLP on 2/6/2017

RBS has agreed to pay $85 million to the CFTC to resolve allegations that its traders “manipulated the ISDAfix benchmark rate over a period of five years to benefit the bank’s derivatives positions”....more

Corporate and Financial Weekly Digest - Volume XI, Issue 2

Katten Muchin Rosenman LLP on 1/18/2016

BROKER-DEALER - 2016 Examination Priorities Announced By SEC - On January 11, the Securities and Exchange Commission released the Office of Compliance Inspections and Examinations’ (OCIE) 2016 examination...more

Financial Services Quarterly Report - Fourth Quarter 2015: And a Partridge in a Pear Tree: Top 12 Regulatory Heads-up for the...

Dechert LLP on 12/23/2015

1st Day of Christmas – UCITS V* - The UCITS V Directive (UCITS V) introduces specific provisions on: - (i) eligibility, liability and delegation of depositaries; - (ii) remuneration policies; and ...more

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