Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
4/4/2025
/ Artificial Intelligence ,
Capital Markets ,
Economic Growth ,
Environmental Social & Governance (ESG) ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
MiFID ,
Regulatory Requirements ,
Securitization ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
3/10/2025
/ Alternative Investment Funds ,
Artificial Intelligence ,
Asset Management ,
Cryptoassets ,
Disclosure Requirements ,
Economic Growth ,
Economic Sanctions ,
Environmental Social & Governance (ESG) ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Reform ,
Financial Services Industry ,
Investors ,
Popular ,
Prudential Regulation Authority (PRA)
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
2/5/2025
/ Artificial Intelligence ,
Cryptoassets ,
Digital Operational Resilience Act (DORA) ,
EMIR ,
Environmental Social & Governance (ESG) ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
FSMA ,
Listing Rules ,
MiFIR ,
Office of Foreign Assets Control (OFAC) ,
Regulatory Agenda ,
UK
Following the turn of the new year, our UK Regulatory specialists have examined the key regulatory developments in 2025 impacting a range of UK and European firms within the financial services sector. The key dates have been...more
1/16/2025
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Anti-Money Laundering ,
Asset Management ,
Compliance ,
Cryptoassets ,
Digital Operational Resilience Act (DORA) ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Regulatory Reform ,
Financial Services Industry ,
MiFID II ,
Money Market Funds ,
Regulatory Agenda ,
Securities Regulation ,
SFDR ,
Sustainability ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
1/6/2025
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Corporate Governance ,
CPTPP ,
Cryptoassets ,
Dear Colleague Letter ,
Digital Operational Resilience Act (DORA) ,
EU ,
European Benchmark Regulation (BMR) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Reform ,
FSMA ,
MiFID II ,
MiFIR ,
Prudential Regulation Authority (PRA) ,
SFDR ,
UK ,
UK Competition and Markets Authority (CMA)
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
12/10/2024
/ Artificial Intelligence ,
Cryptocurrency ,
EMIR ,
Enforcement ,
Environmental Social & Governance (ESG) ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
Financial Services Industry ,
FSMA ,
MiFID II ,
MiFIR ,
Prudential Regulation Authority (PRA) ,
Retail Investors ,
UK
In the evolving landscape of financial services, there have been reports that the Financial Conduct Authority (FCA) has recently classified FNZ, a prominent wealth management platform provider, as a ‘co-manufacturer’ of...more
The European Council of the European Union has on 8 November published the text of the Regulation on the transparency and integrity of environmental, social and governance (ESG) rating activities (the “Regulation”).
The...more
On 1 November 2024, the Financial Conduct Authority (“FCA”) updated its sustainability disclosure and labelling regime website and added detailed examples of pre-contractual disclosures to its Sustainability Disclosure...more
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
11/6/2024
/ Appeals ,
Artificial Intelligence ,
Cryptoassets ,
Economic Sanctions ,
ELTIF ,
Environmental Social & Governance (ESG) ,
EU ,
European Commission ,
False Claims Act (FCA) ,
Financial Services Industry ,
FSMA ,
MiFID II ,
MiFIR ,
Prudential Regulation Authority (PRA) ,
Regulatory Requirements ,
SFDR ,
UK
The Motor Finance Commission Claims – including Johnson v FirstRand Bank, Wrench v FirstRand Bank, and Hopcraft v Close Brothers – are a set of Court of Appeal cases addressing undisclosed or partially disclosed commission...more
On 7 October 2024, the FCA issued a “Dear CEO letter” (“Letter”) to firms whose primary business is financial advice or investment intermediation. The Letter contains a summary of the FCA’s priorities and expectations of...more
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
10/7/2024
/ Artificial Intelligence ,
Cryptoassets ,
ELTIF ,
Enforcement ,
Environmental Social & Governance (ESG) ,
European Banking Authority (EBA) ,
European Central Bank ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
Office of Financial Sanctions Implementation (OFSI) ,
Prudential Regulation Authority (PRA) ,
Sanctions ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
9/11/2024
/ Bank of England ,
Disclosure Requirements ,
Enforcement ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Investigations ,
Investment ,
Labeling ,
Prudential Regulation Authority (PRA) ,
Sustainability ,
Transparency ,
UK
"We’re currently seeing a lot of follow-on investments into AI. For example, sponsors are making incremental investments into portfolio companies or using portco balance sheet cash and/or stock to finance acquisitions of...more
9/5/2024
/ Acquisitions ,
Artificial Intelligence ,
Bias ,
Compliance ,
Cybersecurity ,
Due Diligence ,
Investment ,
Machine Learning ,
Mergers ,
Popular ,
Privacy Laws ,
Private Equity
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
9/4/2024
/ Disclosure Requirements ,
Enforcement ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Prudential Regulation Authority (PRA) ,
Regulatory Agenda ,
Transparency ,
UK
On 30 July 2024, the United Kingdom Financial Conduct Authority (“FCA”) published a number of updates in relation to its work on complaints against motor finance firms.
In particular, the FCA published an update...more
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
8/7/2024
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Artificial Intelligence ,
Capital Requirements Regulation (CRR) ,
Cryptoassets ,
ELTIF ,
Environmental Social & Governance (ESG) ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
International Competition Network ,
Listing Rules ,
MiFID II ,
MiFIR ,
Prudential Regulation Authority (PRA) ,
SFDR ,
Sustainability ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
Key developments in June 2024:
28 June
PRIIPs Regulation: The Joint Committee...more
7/5/2024
/ AML/CFT ,
Anti-Money Laundering ,
Cryptoassets ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Supervisory Authorities (ESAs) ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Regulatory Reform ,
New Regulations ,
Proposed Regulation ,
Regulatory Agenda ,
UK
Key developments in May 2024: ESG: The Financial Conduct Authority (“FCA”) updated its webpage on the sustainability disclosure requirements (“SDR”) and investments labelling regime. Among other things, the webpage has been...more
6/12/2024
/ AML/CFT ,
Anti-Money Laundering ,
Artificial Intelligence ,
Asset Management ,
Capital Markets ,
Capital Requirements Directive IV (CRDIV) ,
Cryptoassets ,
Disclosure Requirements ,
EMIR ,
Enforcement ,
Environmental Social & Governance (ESG) ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Investment ,
MiFID II ,
MiFIR ,
Office of Financial Sanctions Implementation (OFSI) ,
Prudential Regulation Authority (PRA) ,
Regulatory Standards ,
Retail Investors ,
Securitization ,
Sustainability ,
UK
Financial Markets Infrastructure: The Bank of England published a speech by Sasha Mills, Executive Director, Financial Market Infrastructure, on operational resilience and its expectations of financial market infrastructures...more
5/9/2024
/ Artificial Intelligence ,
Cryptoassets ,
ELTIF ,
EMIR ,
Environmental Social & Governance (ESG) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
Financial Markets ,
Infrastructure ,
Investment ,
IOSCO ,
MiFID II ,
Private Equity ,
Regulatory Agenda ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
4/10/2024
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Anti-Money Laundering ,
Cryptoassets ,
Economic Sanctions ,
ELTIF ,
Environmental Social & Governance (ESG) ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Investment Funds ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Regulatory Standards ,
Transparency ,
UCITS ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
3/5/2024
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Anti-Money Laundering ,
Artificial Intelligence ,
Commission Delegated Regulation ,
Cryptoassets ,
Diversity and Inclusion Standards (D&I) ,
Environmental Social & Governance (ESG) ,
EU ,
EU Benchmark Regulation ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Reporting Council (FRC) ,
FSMA ,
Libor ,
MiFID II ,
MiFIR ,
Money Market Funds ,
Prudential Regulation Authority (PRA) ,
Reporting Requirements ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
2/21/2024
/ AML/CFT ,
Cryptoassets ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
European Securities and Markets Authority (ESMA) ,
False Claims Act (FCA) ,
FinTech ,
Handbooks ,
MiFID II ,
MiFIR ,
OFR ,
Prudential Regulation Authority (PRA) ,
Securities Regulation ,
UK
Following the turn of the new year, our UK Regulatory specialists have examined the key regulatory developments in 2024 impacting a range of UK and European firms within the financial services sector. The key dates have been...more
2/8/2024
/ Acquisitions ,
Capital Markets ,
EU ,
Financial Institutions ,
Financial Services Industry ,
Investment Funds ,
Investment Opportunities ,
Mergers ,
Private Equity ,
Regulatory Agenda ,
Regulatory Requirements