Equity Capital Markets

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  • Extension of SMCR: Preparing for Conduct Rules Accesso limitato

    Webinar

    Inviato: 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 Accesso limitato

    Webinar

    Inviato: 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).

  • FCA rule changes alter availability of information in the UK equity IPO process

    Articolo

    Inviato: 24 November 2017

    Consideration of the new rules that alter the timing of information provided in connection with an equity IPO process and tighten the guidence around when analysts can participate in discussions with a potential issuer pre-mandate stage and which take effect on 01 July 2018.

  • FCA review of the effectiveness of primary markets: minor rule changes and further discussion

    Articolo

    Inviato: 24 November 2017

    A summary of the Listing Rule changes which take effect on 01 January 2018, most of which are technical enhancements rather than fundamental changes and of the topics the FCA has decided to give further consideration to.

  • Extension of SMCR: Identifying senior managers and related challenges Accesso limitato

    Webinar

    Inviato: 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

    Articolo

    Ultima consultazione: 20 November 2017 / Inviato: 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 Accesso limitato

    Webinar

    Inviato: 08 November 2017

    Download the slides and 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 Accesso limitato

    Newsletter

    Inviato: 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 Accesso limitato

    Newsletter

    Inviato: 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.

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