News & Analysis as of

Regulatory Requirements Investment Firms Financial Conduct Authority (FCA)

A&O Shearman

FCA consultation on definition of capital for FCA investment firms

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published a consultation paper (CP25/10), along with a press release and an updated webpage, proposing to remove all references to the UK Capital Requirements Regulation (UK CRR)...more

Goodwin

UK Regulatory Capital Reforms: A Boost for Start-Up Founders and Venture Capital Investors?

Goodwin on

In its recent consultation [CP25/10: Definition of capital for FCA investment firms] (Consultation), the Financial Conduct Authority (FCA) has stated that it wants to amend its capital rules for investment firms — such as...more

Cadwalader, Wickersham & Taft LLP

Regulation in Flux, March 2025 - UK Financial Conduct Authority Abandons “Name and Shame” Proposals

The UK Financial Conduct Authority is no longer pursuing its high-profile proposal to announce the start of enforcement investigations into regulated firms. However, we may see a more robust interpretation of existing rules...more

Cadwalader, Wickersham & Taft LLP

Amid Chaos, Regulatory Change Continues Apace, March 2025 - Lessons From the FCA’s Fine of Infinox Capital

The FCA has fined Infinox Capital, a London-based broker, for breach of MiFIR transaction reporting requirements. Infinox failed to submit reports for some 46,053 transactions executed by its single-stock CFD (contract for...more

A&O Shearman

Regulatory monitoring - December 2024

A&O Shearman on

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) International - FSB: Plenary December 2024 - Status: Final - The FSB has set out the outcomes of its Plenary that met on 3 and 4 December. Points of...more

A&O Shearman

UK Prudential Regulation Authority Consults on Restatement of UK Capital Requirements Regulation Rulebook Requirements

A&O Shearman on

The U.K. Prudential Regulation Authority has published a consultation on its proposals to restate, and in some cases modify, the U.K. Capital Requirements Regulation requirements relating to the definition of own funds in its...more

Skadden, Arps, Slate, Meagher & Flom LLP

The Capital Ratio: Roundup of Upcoming UK Regulatory Reforms for Financial Institutions

UK regulators have recently announced a number of reforms for banks and other financial institutions. - On 23 November 2023, the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) (together,...more

Proskauer Rose LLP

Regulation Round Up - July 2021

Proskauer Rose LLP on

The Basel Committee on Banking Supervision (“BCBS”) published a report jointly with the World Bank setting out the findings from a global survey on proportionality in banking regulation and supervision....more

8 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:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide