Investment Bank Regulatory

Latest

1 to 10 of 1494
  • FCA publishes interim report on investment platforms market study

    Article

    Submitted: 16 July 2018

    On 16 July 2018, the Financial Conduct Authority (FCA) published its interim report on its investment platforms market study, which looked at competition between investment platforms in the interest of consumers.

  • “Super-equivalence”: the Government’s proposed new approach to financial services after Brexit

    Blog Post

    Submitted: 16 July 2018

    A summary of the Government's proposed approach to financial services after Brexit.

  • MMF Regulation - the FCA publishes its final rules

    Article

    Submitted: 13 July 2018

    The EU’s Money Market Funds Regulation comes into effect on 21 July 2018. Following its consultation in CP18/4, the FCA has now published a policy statement (PS18/17) containing its final rules. These include a number of changes to the original proposals, having taken into account industry feedback.

  • Extension of SMCR: The FCA’s “near final” rules on extension of the Senior Managers and Certification Regime to FCA solo-regulated firms

    Article

    Submitted: 04 July 2018

    On 04 July 2018, the Financial Conduct Authority (FCA) published the “near final” rules on the extension of SMCR to all FCA firms. We highlight immediate points of interest for FCA solo-regulated firms below.

  • CP18/19: the FCA’s proposal for a new public directory

    Article

    Submitted: 04 July 2018

    The FCA consults on the proposal to introduce a new public register for checking the details of key individuals working in financial services.

  • Extending the SMCR to insurers - a brief summary of the main points

    Article

    Submitted: 04 July 2018

    Today, 04 July 2018, the Financial Conduct Authority (FCA) published the “near final” rules on the extension of SMCR to all FCA firms and the PRA updated Supervisory Statement 28/15. We highlight immediate points of interest for insurers below.

  • New crypto assets regulatory regime launched in the ADGM

    Article

    Submitted: 03 July 2018

    On 25 June 2018, the Financial Services Regulatory Authority ("FSRA” - the independent financial services regulator for the Abu Dhabi Global Market (ADGM) financial free zone) announced that it had launched its new regulatory framework relevant to certain crypto asset activities, including a new regime for crypto asset exchanges.

  • The Global LEI System and Other Unique Identifiers

    Article

    Last Reviewed: 30 June 2018 / Submitted: 10 February 2014

    An overview of the Global LEI System considering some of its practical implications for financial institutions and, in particular, its relationship to the reporting obligations under EMIR including Unique Transaction Identifiers and Unique Product Identifiers.

  • US Court overturns Department of Labor Fiduciary Advice Rule

    Article

    Submitted: 29 June 2018

    The ERISA advice fiduciary rules that were the subject of our Q&A in April 2017 have been overturned by a US Court. The effect of this is that funds can once again accept subscriptions from certain affected ERISA and benefit plan investors without requiring such investors to be “professionally advised”. Investment managers can therefore remove certain representations and restrictions from their funds’ documents.

  • Breakfast Briefing Restricted access

    Seminar

    Submitted: 26 June 2018

    Vertrieb von Investmentfonds im Lichte der neuen Richtlinien- und Verordnungsentwürfe der EU-Kommission.

1 to 10 of 1494