News & Analysis as of

Financial Conduct Authority (FCA)

Corporate and Financial Weekly Digest, Featuring Topics on Broker-Dealer, Derivatives, CFTC and UK/Brexit/EU DevelopmentsCorporate...

BROKER-DEALER - FINRA Releases 2018 Regulatory and Examination Priority Letter - On January 8, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priority Letter detailing...more

UK Financial Conduct Authority Publishes Near-Final Rules for Implementation of the EU Benchmarks Regulation

by Shearman & Sterling LLP on

The UK Financial Conduct Authority has published a Policy Statement setting out responses to its earlier consultation in June 2017 on proposed Handbook changes to ensure that the Handbook is consistent with the provisions of...more

Key Regulatory Topics: Weekly Update - 22 December 2017 – 4 January 2018

by Allen & Overy LLP on

BREXIT - FMLC paper on Brexit and impact of WTO rules on financial services - On 22 December 2017, the FMLC published a paper on the potential impact of Brexit and WTO rules on financial services. The paper focuses on...more

MiFID II and commissions: Implications for technology costs

New MiFID II rules around which services buy-side firms may pay for through commission payments with brokers makes an important distinction....more

UK Regulators Consult Further on Extension of Individual Accountability Regime to All Financial Services Firms

by Shearman & Sterling LLP on

The UK Financial Conduct Authority and Prudential Regulation Authority have issued further consultations on aspects of the extension of the Senior Managers and Certification Regime to all firms authorized under the Financial...more

Preparing Borrowers For The LIBOR Phase-Out: Some Practical Advice

by Cole Schotz on

As a result of the well-publicized scandals involving LIBOR rate manipulation, British regulators announced plans in July 2017 to phase-out LIBOR by 2021 and replace it with a more reliable benchmark. In addition to other...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

China has put the kibosh on micro-lending, a move that has cut short not just the consumer loans themselves but the giant asset-backed securities market—a $37 billion industry in China last year alone. The new curbs have had...more

UK Financial Conduct Authority Rules Out New Rules for Distributed Ledger Technology

by Shearman & Sterling LLP on

The Financial Conduct Authority has published a feedback statement on Distributed Ledger Technology, following the discussion paper it issued in April 2017....more

UK Financial Conduct Authority Will Follow European Banking Authority Guidelines Under the Revised Payment Services Directive

by Shearman & Sterling LLP on

The UK Financial Conduct Authority has issued a statement confirming that it will comply with the Guidelines published by the European Banking Authority on December 12, 2017 on security measures for operational and security...more

Regulation Round Up - December 2017

by Proskauer Rose LLP on

1 December - The Financial Conduct Authority (FCA) published its 19th quarterly consultation paper (CP17/39). The proposed changes to the FCA Rules include changes to the FCA's Decision Procedure and Penalties manual,...more

Update: Creation of the National Economic Crime Centre

by WilmerHale on

On 11 December 2017 the Government announced the creation of the National Economic Crime Centre (NECC). The NECC will be based within the National Crime Agency (NCA) and will act as a multi-agency organisation, tasked with...more

Replacing LIBOR in Derivatives Agreements

In July 2017, the CEO of the U.K. Financial Conduct Authority (FCA), Andrew Bailey, announced that the FCA will discontinue the London interbank offered rate (LIBOR) at the end of 2021. LIBOR is an interest rate index that is...more

Equity Capital Markets - Which Market?

by Hogan Lovells on

Hogan Lovells Guide to the eligibility requirements and continuing obligations of admitting securities to the Premium, Standard and High Growth segments of the Main Market and AIM – (updated as at 1 January 2018). Please...more

Corporate Insurance Newsletter – December 2017

by Hogan Lovells on

The Hogan Lovells’ Corporate Insurance Newsletter for December has been published. This provides a round-up of UK, EU and international regulatory developments relevant to UK based insurance market participants. Please...more

Key Regulatory Topics: Weekly Update - 15 December 2017 – 21 December 2017

by Allen & Overy LLP on

BREXIT - CBI Brexit guide to EU bodies and regulators: financial services aspects - On 21 December, the CBI published a guide to the EU bodies and regulators that matter to business in the Brexit negotiations, including...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 9

Structured Product Red Herrings: Rule 433 and Rule 424(b) - Red herrings for most offerings of structured products registered with the Securities and Exchange Commission (the “SEC”) under the Securities Act of 1933, as...more

UK Financial Conduct Authority Publishes Measures to Improve the UK Financial Advice Market

by Shearman & Sterling LLP on

The Financial Conduct Authority has published a Policy Statement setting out new Handbook rules and guidance to implement some of the recommendations arising from the Financial Advice Market Review launched by the FCA jointly...more

Proposals Announced to Extend Senior Management Responsibilities in UK Financial Services

by Morgan Lewis on

Firms should establish implementation teams, create project plans, design procedures, and take several other measures to prepare for the new rules. The UK Financial Conduct Authority (FCA) has published three more...more

Second FCA Consultation Paper Published On Accountability 2

by DLA Piper on

On 13 December 2017, the FCA has published a technical Consultation Paper 17/40 (CP 17/40) on the extension of the Senior Managers and Certification Regime (SMCR) to the entire financial services industry. CPI 7/40 contains...more

What Next for Distributed Ledger Technology?

by Latham & Watkins LLP on

The FCA has published a Feedback Statement on Distributed Ledger Technology, setting out its views and proposed next steps. Key Points: ..Respondents to the FCA’s initial Discussion Paper were supportive of the FCA...more

Joint DB and DC trustee agenda update: current legal issues for January meetings

by Allen & Overy LLP on

Welcome to our monthly update on current legal issues for trustees of DB and hybrid pension schemes, designed to help you stay up-to-date with key developments between trustee meetings, and to support the legal update item on...more

Financial institutions M&A trends: Asset management - Acquire or be acquired: Three reasons why asset managers are consolidating

by White & Case LLP on

Megadeals in the asset management industry have been coming thick and fast: Standard Life's £3.8 billion tie-up with Aberdeen Asset Management, Amundi's €3.55 billion acquisition of Pioneer and Henderson and Janus Capital...more

FCA issues Feedback Statement on DLT

by DLA Piper on

On 15 December 2017, the Financial Conduct Authority (FCA), following the publication of its Discussion Paper on Distributed Ledger Technology (DLT) (Discussion Paper) (DPI 7/3) in April 2017, published a Feedback Statement...more

Corporate News - December 2017

by Hogan Lovells on

A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law. ...more

FCA to Take a Closer Look at ICOs

by Latham & Watkins LLP on

Following on from the Financial Conduct Authority’s (FCA’s) consumer warning on Initial Coin Offerings (ICOs) in September, the FCA has announced a deeper examination of this area in its Feedback Statement on Distributed...more

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