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
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
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
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
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
...more
12/5/2023
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Artificial Intelligence ,
Basel Committee on Banking Supervision (BCBS) ,
Capital Requirements Regulation (CRR) ,
Cryptoassets ,
EMIR ,
Environmental Social & Governance (ESG) ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Greenwashing ,
Infrastructure ,
Investment Firms ,
MiFID ,
MiFID II ,
Over The Counter Derivatives (OTC) ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Regulatory Agenda ,
Short Selling ,
Tokenization ,
UCITS ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
10/12/2023
/ Alternative Investment Fund Managers Directive (AIFMD) ,
AML/CFT ,
Capital Requirements Regulation (CRR) ,
Cryptoassets ,
Decentralized Finance (DeFi) ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Promotions ,
Financial Regulatory Agencies ,
FSMA ,
IMF ,
Implementing Technical Standards (ITS) ,
Libor ,
Mergers ,
Prudential Regulation Authority (PRA) ,
SFDR ,
UCITS ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
9/7/2023
/ AML/CFT ,
Capital Requirements Regulation (CRR) ,
Commission Delegated Regulation ,
Committee on Payments and Market Infrastructure (CPMI) ,
Cryptoassets ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
False Claims Act (FCA) ,
FSMA ,
Investment Adviser ,
Investment Firms ,
IOSCO ,
Money Market Funds ,
New Regulations ,
Proposed Rules ,
Regulation Technical Standards (RTS) ,
UK
31 July -
ESG: The European Commission adopted a Commission Delegated Regulation, setting out the first set of European Sustainability Reporting Standards (“ESRS”), together with a Q&A (see press release). The ESRS specify...more
8/10/2023
/ Artificial Intelligence ,
Capital Requirements ,
Cryptoassets ,
EMIR ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Services Industry ,
FSMA ,
Investment Firms ,
Libor ,
Liquidity ,
Marketing ,
MiFID II ,
Money Market Funds ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Prudential Regulation Authority (PRA) ,
Risk Management ,
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 April 2023:
28 April FCA Handbook: The Financial Conduct...more
5/22/2023
/ Anti-Money Laundering ,
Artificial Intelligence ,
Asset Management ,
Bank Recovery and Resolution Directive (BRRD) ,
Capital Requirements Regulation (CRR) ,
CRD IV Directive ,
Cryptoassets ,
CSDR ,
Digital Assets ,
EMIR ,
Environmental Social & Governance (ESG) ,
European Banking Authority (EBA) ,
European Central Bank ,
Financial Conduct Authority (FCA) ,
FinTech ,
Illiquid Assets ,
Libor ,
UK
31 March -
SFTR: The European Securities and Markets Authority (“ESMA”) published an updated version of its Q&As (ESMA74-362-893) on complying with reporting requirements under the Regulation on reporting and transparency...more
4/10/2023
/ Amended Regulation ,
AML/CFT ,
Banking Sector ,
Basel Committee on Banking Supervision (BCBS) ,
Capital Markets ,
Cryptoassets ,
Distributed Ledger Technology (DLT) ,
EMIR ,
Environmental Social & Governance (ESG) ,
EU ,
EU Benchmark Regulation ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Reform ,
Financial Services Industry ,
MiFIR ,
Regulatory Agenda ,
Short Selling ,
UK
31 January -
The European Supervisory Authorities (“ESAs”) published a joint consultation paper (JC 2022 76) on the system established by the ESAs for the exchange of information relevant to the assessment of the fitness...more
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
Key developments in October 2022:...more
11/2/2022
/ Bank of England ,
Capital Requirements Regulation (CRR) ,
CSDR ,
EMIR ,
Environmental Social & Governance (ESG) ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
SFDR ,
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 July 2022: ...more
8/11/2022
/ EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Services Act ,
Investment ,
Liquidity ,
MiFIR ,
Prudential Regulation Authority (PRA) ,
SFDR ,
Sustainable Finance
Key developments in June 2022:
30 June -
The Financial Conduct Authority (“FCA”) published a consultation paper (CP22/11) on winding down synthetic sterling LIBOR and USD LIBOR.
The Bank of England (“BoE”)...more
7/6/2022
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Blockchain ,
Distributed Ledger Technology (DLT) ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Regulatory Reform ,
Financial Services Industry ,
Regulatory Agenda ,
Taxonomy
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
28 February -
The Financial Conduct Authority (“FCA”) published Handbook Notice...more
3/4/2022
/ EU ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Services Industry ,
FSB ,
G20 ,
Investment Funds ,
Libor ,
Money Market Funds ,
Payment Services Directive ,
Regulation Technical Standards (RTS) ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. ...more
1/6/2022
/ Alternative Investment Fund Managers Directive (AIFMD) ,
AML/CFT ,
Central Counterparties ,
CSDR ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Services Industry ,
MiFID ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Prudential Regulation Authority (PRA) ,
SMCR ,
UK
The Financial Conduct Authority (“FCA”) published a statement reminding firms about potential financial crime risks linked to Afghanistan. Commission Delegated Regulation (EU) 2021/1415 supplementing the Securitisation...more
9/3/2021
/ Afghanistan ,
Banks ,
Credit Rating Agencies ,
Debit and Credit Card Transactions ,
EIOPA ,
Environmental Social & Governance (ESG) ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
Information Sharing ,
Life Insurance ,
Prudential Standards ,
Repurchase Agreements ,
Sustainable Finance
The Basel Committee on Banking Supervision (“BCBS”) published a report jointly with the World Bank setting out the findings from a global survey on proportionality in banking regulation and supervision....more
8/3/2021
/ Banks ,
Basel Committee on Banking Supervision (BCBS) ,
Benchmarks ,
Capital Requirements Regulation (CRR) ,
CRD IV Directive ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Services Industry ,
Investment Firms ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Regulatory Agenda ,
Regulatory Requirements ,
SFDR ,
Supervisory Highlights ,
UCITS ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
7/7/2021
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Capital Markets ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Fund Managers ,
HM Treasury ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
UK
26 February -
HM Treasury published a report setting out the findings of the Kalifa Review of UK FinTech.
The Financial Conduct Authority (“FCA”) published Handbook Notice 85, which sets out changes to the FCA Handbook...more
3/2/2021
/ Consultation Papers ,
Coronavirus/COVID-19 ,
EU Benchmark Regulation ,
European Banking Authority (EBA) ,
European Central Bank ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
FinTech ,
HM Treasury ,
MiFID II ,
Prudential Regulation Authority (PRA)
31 December -
The Brexit Transitional Period (pursuant to which the UK stayed in the Single Market and European Customs Union came to an end. The FCA updated its Brexit webpages to remind firms of the potential impact...more
1/11/2021
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Bank Recovery and Resolution Directive (BRRD) ,
Capital Requirements Regulation (CRR) ,
CRD V ,
ESRB ,
ETFs ,
EU ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Action Task Force ,
Financial Stability Board ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
UK ,
UK Brexit
29 October -
The Financial Conduct Authority (“FCA”) updated its webpage on its responsibilities to mutual societies and its webpage on mutual societies’ annual returns and accounts.
The FCA published a press release...more
11/4/2020
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Consultation Papers ,
Dear CEO Letter ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Financial Stability Board ,
FinCEN ,
HM Treasury ,
MiFID II ,
MiFIR ,
Prudential Regulation Authority (PRA)
30 July -
The Financial Conduct Authority (“FCA”) updated its webpage on the High Court business interruption insurance test case.
The Prudential Regulation Authority (“PRA”) published a consultation paper (CP11/20)...more
8/7/2020
/ Annual Reports ,
Anti-Corruption ,
Bank of England ,
Consultation Papers ,
EIOPA ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Services Industry ,
HM Treasury ,
HMRC ,
Libor ,
MiFID II ,
MiFIR ,
Policy Statement ,
Prudential Regulation Authority (PRA)
30 June -
The Financial Conduct Authority (“FCA”) announced that the deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons will be delayed from 9...more
7/6/2020
/ Banking Sector ,
Business Interruption ,
EU ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
HM Treasury ,
IOSCO ,
MiFID II ,
Prudential Regulation Authority (PRA)