News & Analysis as of


Reviewing Canada's Anti-Money Laundering and Anti-Terrorist Financing Regime

by Dentons on

On February 7, 2018, the Department of Finance (the Department) released a consultation paper (Consultation or Paper) as part of its review of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and...more

European Commission Outlines its Action Plan for FinTech

by Shearman & Sterling LLP on

The European Commission has issued a Communication on FinTech to the European Parliament, the European Council, the European Central Bank, the European Economic and Social Committee and the Committee of the Regions....more

US Commodity Futures Trading Commission and UK Financial Conduct Authority Agree to Collaborate on Regulating FinTech Innovation

by Shearman & Sterling LLP on

The Commodity Futures Trading Commission and the Financial Conduct Authority have signed a Cooperation Arrangement on Financial Technology Innovation, an arrangement that commits both regulators to collaborating and fostering...more

UK Financial Conduct Authority Moots Global Sandbox

by Shearman & Sterling LLP on

The Financial Conduct Authority has issued a questionnaire on whether a global regulatory sandbox for fintech and other innovative businesses would be beneficial and how it would operate. The FCA set up the United Kingdom's...more

Financial Regulatory Developments Focus - February 2018 #3

by Shearman & Sterling LLP on

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

Global Ambitions for the FCA’s Sandbox

by Latham & Watkins LLP on

The FCA seeks industry feedback to capitalise on global regulatory sandbox trend. The regulatory sandbox was pioneered by the Financial Conduct Authority (FCA) back in November 2015 — a “safe space” in which businesses can...more

Federal Lawmakers Consider Fintech

Federal lawmakers discussed financial technology at a recent hearing, with topics ranging from regulatory sandboxes to marketplace lending....more

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

BROKER-DEALER - FINRA Proposes Rule Change Related to the Content of the Securities Industry Essentials Examination - On January 12, the Financial Industry Regulatory Authority (FINRA) filed with the Securities and...more

NAIC Report: 2017 Fall National Meeting

The National Association of Insurance Commissioners (NAIC) held its 2017 Fall National Meeting from December 2 through December 4 in Honolulu, Hawaii. Despite the exotic locale, the Fall National Meeting was not as well...more

Payments Innovation and Competition in Retail Banking Services Stay High on FCA Agenda for 2018

by Latham & Watkins LLP on

Driven by payments innovation and new regulation, 2018 is cited as the year for some of the most significant changes retail banking has seen. At the Westminster Business Forum for Digital Payments, Adoption, Innovation and...more

Regulatory Sandboxes - a Global Stocktake

by Latham & Watkins LLP on

Regulatory sandboxes are becoming a global trend, providing plenty of opportunities for innovative businesses. Pioneered in the UK as part of the Financial Conduct Authority’s (FCA) “Project Innovate”, a regulatory sandbox...more

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