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Food Safety Modernization Act Financial Institutions

The Food Safety Modernization Act is a United States federal statute enacted in 2011 to ensure the safety of the U.S. food supply and prevent food contamination. The main features of the FSMA include expanding... more +
The Food Safety Modernization Act is a United States federal statute enacted in 2011 to ensure the safety of the U.S. food supply and prevent food contamination. The main features of the FSMA include expanding the FDA's inspection of food processing facilities and imported food products, requiring all food processors, manufactures and handlers to register with HHS and maintain food safety records, and shifting the government's focus away from responding to food contamination and towards preventing food contamination.  less -

UK Central Securities Depositaries Regulations 2017 Published

by Shearman & Sterling LLP on

HM Treasury has published the Central Securities Depositories Regulations 2017, together with an explanatory memorandum. The Regulations implement, in part, certain Articles of the EU Central Securities Depositaries...more

Funds Bulletin - February 2017

by Hogan Lovells on

Funds Bulletin (a monthly round-up of topical legal, regulatory and tax issues affecting the fund industry). Features our summary of the FSCP's position paper on the impact of Brexit on financial services consumers, as well...more

Regulation Round Up - February 2017

by Proskauer Rose LLP on

The FCA and PRA announced changes to enforcement process with the aim of strengthening the transparency and effectiveness of enforcement decision-making processes. Some of the changes have already come into force, the rest...more

Financial Regulatory Developments Focus - November 2016

by Shearman & Sterling LLP on

In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and...more

UK Financial Regulatory Developments - June 2016 #15

by Dentons on

FCA brings investment fraud charges - FCA has charged five individuals with various offences under the Financial Services and Markets Act 2000 and with conspiracy to defraud. The offences relate to promotion and sale of...more

Upper Tribunal Declines To Suspend Effect Of FCA Decision Notice Refusing Application For Part 4A Permission

by Allen & Overy LLP on

In this decision report we consider the decision of the Upper Tribunal (Tax and Chancery Chamber) in which the Upper Tribunal declined to suspend the effect of a decision notice that had been issued to a firm, Money Matcher...more

UK Financial Regulatory Developments - May 2016 #9

by Dentons on

Chancellor responds on tax deductibility of regulatory fines - The Chancellor has responded to a letter from Andrew Tyrie MP, Chairman of the Treasury Committee, to confirm that payments made by banks to regulators are...more

UK Financial Regulatory Developments - May 2016 #3

by Dentons on

FCA extends COBS 13 and 14 modification by consent - FCA has published a revised direction to extend the modification by consent of its Conduct of Business Sourcebook (COBS) in relation to pension schemes. The...more

UK Financial Regulatory Developments - April 2016 #13

by Dentons on

FCA finalises guidance on sharing SME credit information - FCA has published its finalised guidance on Small and Medium Sized Business (Credit Information) Regulations. This follows Treasury’s designation of the banks...more

UK Financial Regulatory Developments - March 2016 #18

by Dentons on

FCA finalises CCA first charge mortgage rules - FCA has published its policy statement and final rules following its consultation (see FReD 13 November 2015) on the treatment of first charge mortgages that are regulated...more

Blog: ILS Provisions Added To The Bank Of England & Financial Services Bill, As It Makes Its Way Through The House Of Lords

by Cooley LLP on

The UK government has proposed amendments to the Bank of England and Financial Services Bill (the Bill), which if enacted, would pave the way for Insurance Linked Securities (ILS) and collateralised reinsurance business...more

Treasury increases SMR scope

by Dentons on

The FSMA (Relevant Authorised Persons) Order 2015 came into force on 9 November. It provides that persons falling within either of two categories of non-UK institution are “relevant authorised persons” for the purposes of...more

Implementation Issues Arising from the Revised UK Senior Manager and Certification Regime

by Shearman & Sterling LLP on

The UK Government recently announced that it would introduce a new statutory duty of responsibility on senior managers in all financial institutions and repeal the presumption of responsibility that would have applied to...more

Complaints Commissioner criticises FCA handling

by Dentons on

OCC published its final decision with regards to a complaint against FCA’s handling of a change in control application. The complainant said the FCA set extremely short deadlines for them to respond to issues FCA had raised....more

Upper Tribunal grants extension to refer

by Dentons on

The Upper Tribunal has granted an application to extend the timeframe in which an applicant could refer their notice to the Tribunal. Whilst acknowledging that the case was borderline, the Tribunal granted the application due...more

Treasury makes Transparency Regulations

by Dentons on

Treasury has made the Transparency Regulations 2015, which amend the Financial Services and Markets Act 2000 (FSMA) in line with the Transparency Directive. The Regulations make changes in respect of...more

"The UK Softens Its Approach to Senior Banker Regulatory Liability"

The aftermath of the financial crisis saw regulators worldwide tighten rules and launch large-scale enforcement investigations, particularly directed at the banking sector. The U.K., notwithstanding the importance to it of...more

Treasury introduces BoE Bill

by Dentons on

Treasury has published the responses to the Government’s technical consultation on proposed changes to the governance of BoE (see FReD 24 July). It also introduced the Bank of England and Financial Services Bill (the BoE...more

Financial Markets Disputes and Regulatory Update - Summer 2015 Issue 1

by Dentons on

In This Issue: - What is worth remembering from the first half of 2015? - Judgments - so far this year… ..Jurisdiction for claims in relation to bearer bonds ..Exercise of contractual rights by...more

Essential Guide to Mortgages and Charges Over Land

by Dechert LLP on

This Essential Guide describes the most commonly used types of security that can be created or arise over property, the form and contents of a typical mortgage or fixed charge over property, due diligence and pre-completion...more

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