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FAQs for Senior Managers: how to evidence reasonable steps

Webinar

Submitted: 26 July 2019

Download the slides and watch our recent webinar on demand. The final call in our SMCR implementation series focuses on FAQs for Senior Managers including how to evidence reasonable steps.
Culture and Conduct Rules

Webinar

Submitted: 19 July 2019

Download the slides and watch our recent webinar on demand. The fifth call in our SMCR implementation series focuses on understanding the conduct rules and the current regulatory focus on culture and conduct.
Certification Regime

Webinar

Submitted: 12 July 2019

Download the slides and watch our recent webinar on demand. The fourth call in our SMCR implementation series focuses on certification regime - how to allocate the client dealing function, managers of certified people, material risk takers and algorithmic traders.
Difficult issues for smaller asset managers

Webinar

Submitted: 28 June 2019

Download the slides and watch our recent webinar on demand. The third of seven calls in our SMCR implementation series focuses on difficult issues for smaller asset managers, including interpretation and application of the partnership rules, core firm proportionality for smaller asset managers, and issues for our US asset manager population.
SMCR implementation: The Final Countdown, are you ready?

Webinar

Submitted: 17 June 2019

This series of practical webinars is designed to help you find solutions to some of the most commonly asked questions regarding SMCR implementation.
Food for thought: AIM Company censured and fined for non-compliance with AIM Rules

Article

Submitted: 06 June 2019

An overview of the public censure and fine of £450,000 of Real Good Food plc for breaches of AIM Rules 10, 13, 17, 19, 21 and 31.
Belgian parliament adopts law regarding abuse of economic dependence and unfair, misleading and aggressive practices between undertakings

Article

Last Reviewed: 29 May 2019 / Submitted: 29 March 2019

On 21 March 2019, the Belgian parliament adopted a law (i) expanding the scope of Belgian competition law to also cover abuses of economic dependence, (ii) introducing a greylist and a blacklist of clauses in B2B agreements and (iii) prohibiting certain unfair, misleading and/or aggressive market practices in a B2B context. On 24 May 2019, this law was published in the Belgian Official Gazette.
Primary Market Bulletin No.23 and final Technical Note on treatment of inside information when preparing periodic financial reports published

Article

Submitted: 26 April 2019

Overview of Primary Market Bulletin No.23 and final Technical Note FCA/TN/506.2
FCA publishes speech on MAR implementation in the UK

Article

Submitted: 18 February 2019

Julia Hogett, (Director of Market Oversight at the FCA) has delivered a speech setting out the FCA’s views on the implementation of the Market Abuse Regulation (MAR) in the UK.