News & Analysis as of

CFD Trading United Kingdom Financial Conduct Authority (FCA)

Cadwalader, Wickersham & Taft LLP

The UK’s Financial Conduct Charges Reality TV Stars With Illegal Financial Promotions

The UK’s Financial Conduct Authority (“FCA”) has brought charges against several reality show participants for illegally issuing unauthorised financial promotions. These relate to an investment scheme that provided advice on...more

Orrick - On the Chain

The FCA Reclassifies Cryptoassets, But Is It Moving Away From Its Technology Neutral Approach?

Orrick - On the Chain on

The Financial Conduct Authority (FCA) has released final guidance on cryptoassets in a policy statement that includes feedback from their January consultation paper. It is important to note that the policy statement is of a...more

A&O Shearman

UK Regulator Publishes Rules Restricting Sale of Contracts for Difference and Related Options

A&O Shearman on

The U.K. Financial Conduct Authority has published the Conduct of Business (Contracts for Difference) Instrument 2019, implementing product intervention measures designed to restrict the sale, marketing and distribution of...more

White & Case LLP

FCA cites price volatility and ‘FOMO’ in proposal to ban the sale of crypto-derivatives to retail clients

White & Case LLP on

On 3 July 2019, the UK's Financial Conduct Authority published a consultation paper in which it proposed to prohibit the sale to all retail clients of derivatives and Exchange Traded Notes (ETNs) that reference certain types...more

A&O Shearman

UK Financial Conduct Authority on Onshoring the EU Temporary Product Intervention Measures

A&O Shearman on

The U.K. Financial Conduct Authority has published a statement on onshoring of the European Securities and Markets Authority's temporary product intervention measures on retail contracts for difference and binary options...more

A&O Shearman

UK Conduct Authority Consults on Permanent Product Intervention Measures

A&O Shearman on

The U.K. Financial Conduct Authority has launched two consultations proposing to prohibit the sale, marketing and distribution of binary options to retail consumers and to restrict the sale, marketing and distribution of...more

Latham & Watkins LLP

FCA Proposes Permanent Product Intervention Measures for Retail CFDs and Binary Options

Latham & Watkins LLP on

The rules will echo ESMA’s temporary measures, however the FCA will extend the CFD restriction to capture closely substitutable products (such as turbo certificates). The FCA has launched two consultations on: ..Banning...more

Orrick, Herrington & Sutcliffe LLP

Cryptoassets Taskforce – Final Report: Cryptoasset Regulation Is Coming … (Maybe)

The regulation of cryptoassets is a question that has been troubling lawmakers and regulators across the globe. This new phenomenon has had a small but significant effect on how financial services function and facilitates new...more

A&O Shearman

EU Ban Relating to Binary Options Extended

A&O Shearman on

Following its announcement in August 2018, the European Securities and Markets Authority has published notice of the extension of the prohibition on the marketing, distribution and sale of binary options to retail investors...more

A&O Shearman

International Standards Body Encourages Regulatory Clampdown on OTC Leveraged Products

A&O Shearman on

The International Organization of Securities Commissions has published a report on retail OTC leveraged products, alongside a statement warning retail investors of the risks of investing in illegal or fraudulent binary...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

U.S. Financial Industry Developments - FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry - On July 30, 2018, the Financial Industry Regulatory Authority ("FINRA") published a...more

Morgan Lewis

UK Financial Conduct Authority Clamps Down on Retail CFD Products

Morgan Lewis on

FCA proposes enhanced disclosure requirements for derivatives being marketed to retail investors who may not be aware of the risks. Concerned that more and more retail customers are offering and trading...more

12 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide