News & Analysis as of

Small and Medium-Sized Enterprises (SMEs) Financial Conduct Authority (FCA)

Latham & Watkins LLP

FCA Finalises Changes to Rules on Investment Research

Latham & Watkins LLP on

Despite some adjustments to the proposed guardrails, the FCA has largely retained its original approach. On 26 July 2024, the FCA published its final rules on payment optionality for investment research (PS24/9)....more

Hogan Lovells

UK Consumer Duty: FCA publishes portfolio letters to help firms with implementation

Hogan Lovells on

On 3 February 2023, the FCA published portfolio letters setting out its expectations to support firms in implementing the Consumer Duty. The letters highlight its areas of focus for each sector, as well as sector-specific...more

Hogan Lovells

ESG Market Alert – November 2022

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In this alert, we provide a round-up of the latest developments in ESG for UK corporates. In this month’s ESG Market Alert, we cover: The expanding scope of EU rules on ESG disclosures; FRC Lab launches project on...more

BCLP

Banking Bites - August 2022

BCLP on

Welcome to Banking Bites! This is our short summary flagging key developments in the UK that we hope will inform your activities in your market....more

Dechert LLP

Brexit Simplifies? - FCA Consultation on Changes to UK MiFID's Conduct and Organisational Requirements

Dechert LLP on

Brexit simplifies? - FCA consultation on changes to UK MiFID's conduct and orgnisational requirements - On 28 April 2021, the FCA published a consultation paper (CP21/9) setting out proposals to change certain conduct and...more

Latham & Watkins LLP

FCA Consults on Changes to UK MiFID Conduct and Organisational Requirements

Latham & Watkins LLP on

The consultation proposes changes to rules on research and best execution reporting. On 28 April 2021, the FCA published a Consultation Paper (CP21/9) on proposed changes to UK MiFID relating to research unbundling and...more

Hogan Lovells

Banking and finance regulatory news, November 2020

Hogan Lovells on

Approach to assessing resolvability: BoE consultation - The Bank of England (BoE) and the Prudential Regulation Authority (PRA) are consulting in parallel on a package of proposals relating to their policies for...more

Hogan Lovells

COVID-19: Measures taken by financial supervisory authorities in certain jurisdictions - as at 15 May 2020

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The current situation is fast-moving in light of the COVID-19 pandemic. Many financial supervisory and regulatory authorities as well as local governments have issued measures which are relevant for financial institutions and...more

Cooley LLP

Blog: FCA announces it will commence proceedings to seek clarity over BI Covid-19 coverage

Cooley LLP on

On 1 May 2020, the Financial Conduct Authority, the UK’s conduct regulator for general insurers, published a statement announcing that it intends to take a representative sample of cases to Court as soon as possible to...more

Hogan Lovells

FCA publishes “Dear CEO” letter concerning Covid-19 and business interruption insurance for SMEs

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Insurers and business interruption insurance policies have been coming under increasing scrutiny as a result of the economic disruption to business as a result of Covid-19. ...more

Hogan Lovells

FCA's new Business Plan prioritises areas of most potential harm amid COVID-19 challenges

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In its 2020/21 Business Plan, the FCA states its aim to move towards a regulatory approach that's increasingly focused on end outcomes for consumers, markets and firms. The Business Plan reflects this approach, honing in on...more

Hogan Lovells

UK FCA publishes annual Sector Views report

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The UK Financial Conduct Authority (FCA) has published Sector Views, its annual report examining how each financial sector is performing....more

Hogan Lovells

The good, the bad and the ugly

Hogan Lovells on

One year on from Australia's Royal Commission on Banking - The report of the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry (the Report), was published one year ago....more

Latham & Watkins LLP

UK Listed Companies: Key Legal Developments in 2020

Latham & Watkins LLP on

The regulatory regime and disclosure requirements for listed companies in the UK will continue to evolve in 2020. Issuers and their advisers should be aware of the key legal developments that will occur during this year,...more

BCLP

Changes for SME Growth Markets

BCLP on

On 11 December 2019, a Regulation amending the Market Abuse Regulation and the Prospectus Regulation was published. The aim of these amendments is to increase the attractiveness of SME Growth Markets by reducing some of the...more

Hogan Lovells

UK: Changes to Financial Ombudsman Service (FOS): (1) increased award limit of £350,000; (2) jurisdiction extended to SMEs

Hogan Lovells on

From 1 April 2019 two significant changes take effect: - The jurisdiction of the FOS is extended to cover small and medium-sized enterprises, certain charities and trusts and personal guarantors; and - The FOS award...more

White & Case LLP

Update on the Status of Initial Coin Offerings in Europe

White & Case LLP on

With crypto-currencies on the rise and technological developments providing great opportunities in the financial services sector, Initial Coin Offerings ("ICO") provide an innovative way of raising capital. They are...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

Interagency Statement on Accounting and Reporting Implications of the New Tax Law - On January 18, 2018, the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal...more

Orrick - Finance 20/20

FCA Publishes Paper on SME Access to the FOS

The Financial Conduct Authority (“FCA“) is considering allowing Small and Medium Sized Enterprises (“SMEs“) access to Financial Ombudsman Service (“FOS“). On January 22, 2018, the FCA published a consultation paper, available...more

Skadden, Arps, Slate, Meagher & Flom LLP

Positive Outlook for European Capital Markets

Danny Tricot (London, capital markets): Capital markets in Europe were generally positive in 2017, recovering from a mixed year in 2016. The first half of the year was particularly strong for high-yield issuances in Europe,...more

Hogan Lovells

Corporate News – January 2018

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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

A&O Shearman

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

A&O Shearman 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

Hogan Lovells

Corporate News - December 2017

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

Dechert LLP

Asset Management Regulatory Roundup - November 2017 - Issue 10

Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on the amendments to the European Venture Capital and Social Entrepreneurship Fund...more

Hogan Lovells

Planning ahead: the FCA's 2017/18 Business Plan priorities and strategic framework

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The FCA's latest Business Plan demonstrates a commitment to pushing forward on both existing and new initiatives across sectors, focused on maintaining fair consumer outcomes in the rapidly changing UK financial services...more

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