Equity Capital Markets

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  • Extension of SMCR: Identifying senior managers and related challenges Restricted access

    Webinar

    Submitted: 22 November 2017

    Download the slides and watch our recent webinar on-demand. This session had a particular focus on tricky issues such as extraterritoriality, how to manage your existing SIF population and statements of responsibility. It also covered the duty of responsibility and how to take reasonable steps, and how to create clear reporting lines. You will also receive a helpful reminder of the relevant provisions in the draft rules (including relevant comments for insurers).

  • Capital Markets Union knowledge centre

    Article

    Last Reviewed: 20 November 2017 / Submitted: 05 November 2015

    Our Capital Markets Union Knowledge Centre can help you access materials relating to the ongoing development of the Capital Markets Union.

  • Extension of SMCR: Response to Consultation Papers Restricted access

    Webinar

    Submitted: 08 November 2017

    Watch our recent webinar on-demand - Hear specific practical and legal issues from industry as well as our thoughts on the SMCR consultation papers as we cover the main points we have made to the FCA in our response (including relating to insurers).

  • Legal Headwinds: Asia - Quarterly Report - Q4 2017 Restricted access

    Newsletter

    Submitted: 01 November 2017

    The Q4 2017 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.

  • Legal Headwinds: UK/EU - Quarterly Report - Q4 2017 Restricted access

    Newsletter

    Submitted: 31 October 2017

    The Q4 2017 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to asset managers and financial institutions operating in the UK for the period from 01 October 2017 to 31 December 2017.

  • Autumn Legal Business Update 2017 Restricted access

    Conference

    Last Reviewed: 24 October 2017 / Submitted: 22 September 2017

    Learn about a broad range of topical issues relevant to financial institutions, asset managers and investment funds, from lawyers across many disciplines.

  • Equity capital markets update Restricted access

    Seminar

    Last Reviewed: 24 October 2017 / Submitted: 11 October 2017

    This session covers the impact of recent market, legal and regulatory developments on equity capital market transactions.

  • Extension of SMCR webinar series Restricted access

    Webinar

    Submitted: 24 October 2017

    This webinar series covers a broad range of topics around the Extension of the Senior Management and Certification Regime (SMCR). Topics covered include the response to Consultation Papers, identifying senior managers and related challenges, identifying Certification staff and related challenges, preparing for Conduct Rules and the duty of responsibility in practice.

  • Extension of SMCR: Identifying Certification staff and related challenges Restricted access

    Webinar

    Submitted: 24 October 2017

    Watch our recent webinar on-demand - This SMCR webinar covers the categories of staff which fall within the ambit of the certification regime under the draft rules, identifying some of the obvious and less obvious categories including your CF30 customer facing function and their managers.

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