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Markets in Financial Instruments Directive › New Guidance › United Kingdom

Proskauer - Regulatory & Compliance

UK Change in Control Regime – New Guidance published by the FCA and PRA

Proskauer - Regulatory & Compliance on

In the United Kingdom, prior approval must be obtained from the Financial Conduct Authority (the “FCA”) or the Prudential Regulation Authority (the “PRA”) prior to becoming a “controller” of an FCA or PRA authorised firm (an...more

Proskauer - Whistleblowing & Retaliation

New UK Regulations to Govern Whistleblowing in Financial Institutions

Proskauer - Whistleblowing & Retaliation on

This month, the FCA and PRA announced a new regime for whistleblowing that will start to be phased in from March 2016. This is part of the broader desire on the part of the UK regulators to encourage individuals to raise...more

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