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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.
FCA review of MAR implementation

Article

Submitted: 16 January 2019

An overview of Market Watch No 58.
Bonusing proposals clarified - what you need to know

Article

Submitted: 19 December 2017

An overview of the proposed Regulations relating to bonusing made in terms of the Medicines and Related Substances Act, 1965 (‘Regulations’ and ‘Act’) published to cure the perceived ills of bonusing and incentives.
FCA releases three more SMCR Consultation Papers

Article

Submitted: 13 December 2017

Following its consultations on the extension of the Senior Managers and Certification Regime (SMCR) to insurers and solo regulated firms in November, the Financial Conduct Authority (FCA) has published three more consultation papers on the transitioning to the SMCR and the duty of responsibility on 13 December 2017.
Extension of SMCR: Duty of responsibility in practice

Webinar

Submitted: 13 December 2017

Watch our recent webinar on demand. Gain a practical overview of the duty of responsibility under SMCR, including by reference to existing guidance from the FCA as well as guidance on the senior managers Conduct Rules.
Extension of SMCR: Preparing for Conduct Rules

Webinar

Submitted: 06 December 2017

View this webinar on demand and download the slides now. We take a look at SMCR Conduct Rules and what firms should do now in preparation for these.
Extension of SMCR: Identifying Certification staff and related challenges

Webinar

Submitted: 29 November 2017

View our recent SMCR webinar and download the slides now. This session covered 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. It also discusses the steps firms should take now to prepare for certification and who should be involved in that process (including relevant comments for insurers).