News & Analysis as of October 19, 2024

EU Market Abuse Regulation (EU MAR)

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The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

ESMA Sets Out Good Practices for Calls With Analysts Ahead of MAR Closed Periods

Latham & Watkins LLP on 6/24/2024

The guidance was issued after ESMA and national regulators observed “high volatility episodes” in EU share prices, some of which took place shortly after pre-close calls with analysts....more

Recent Developments for UK PLCs

Latham & Watkins LLP on 2/13/2023

This first edition of 2023 covers recent guidance from the FCA’s Primary Market Bulletin 42 and Market Watch 71, major changes to the Takeover Code’s “acting in concert” presumptions, an FCA penalty for publishing misleading...more

FCA Fines Former Chairman of Convatec for Unlawful Disclosure of Inside Information

Dorsey & Whitney LLP on 9/8/2022

The Financial Conduct Authority (FCA) which regulates financial services and markets in the UK has fined Sir Christopher Gent, the former non-executive Chairman of ConvaTec Group Plc (the Company), for unlawfully disclosing...more

Regulation Round Up - January 2022

Proskauer Rose LLP on 2/3/2022

Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. ...more

Global Investigations Review: Basic Anatomy of Enforcement Investigations in Europe

White & Case LLP on 1/13/2022

Securities laws across France, Germany and the United Kingdom are widely comparable. Each country recognises the importance of maintaining a strong procedural framework of regulation and enforcement. The EU Market Abuse...more

The Market Abuse Regulation: the First Five Years

A&O Shearman on 7/27/2021

July 2021 marks five years since the Market Abuse Regulation (596/2014/EU) (EU MAR) came into force on 3 July 2016. Since then, a myriad of developments has supplemented practitioners’ understanding and interpretation of EU...more

Market Abuse Regulation: FCA Review of Delayed Disclosure of Inside Information

White & Case LLP on 11/30/2020

On 11 November 2020, the FCA published a review of delayed disclosure of inside information (DDII) by issuers under MAR as part of its latest Primary Market Bulletin newsletter. As part of this review the FCA analysed all...more

Securities and markets regulatory news, October 2020 # 2

Hogan Lovells on 10/13/2020

MiFIR: FCA statement on trade reporting and position limit obligations - The UK Financial Conduct Authority (FCA) has published a statement on trade reporting and position limit obligations under the Markets in Financial...more

FCA Breaks Ranks in Its Approach to Using Wholesale Data

Latham & Watkins LLP on 3/13/2020

A Call for Input reveals that the FCA is planning for a post-EU future and examining ethics with regard to MAR. On 9 March 2020, the Financial Conduct Authority (FCA) issued a Call for Input on the way that wholesale...more

In Principle: 10 Things Authorised Firms Need to Know for 2020

Akin Gump Strauss Hauer & Feld LLP on 1/30/2020

Welcome to the 2020 edition of In Principle. With the United Kingdom (UK) leaving the European Union (EU) on31 January 2020, and moving into a transition period which will last until 31 December 2020, Brexit of courselooms...more

UK Listed Companies: Key Legal Developments in 2020

Latham & Watkins LLP on 1/24/2020

The regulatory regime and disclosure requirements for listed companies in the UK will continue to evolve in 2020. Issuers and their advisers should be aware of the key legal developments that will occur during this year,...more

Changes for SME Growth Markets

BCLP on 12/16/2019

On 11 December 2019, a Regulation amending the Market Abuse Regulation and the Prospectus Regulation was published. The aim of these amendments is to increase the attractiveness of SME Growth Markets by reducing some of the...more

UK Conduct Regulator Consults on Guidance on Managing Inside Information

A&O Shearman on 12/12/2019

The U.K. Financial Conduct Authority has published a newsletter for primary market participants seeking feedback on draft best practice guidance for government departments, industry regulators and public bodies on the...more

Private Bank Briefing: Issues Impacting the Private Bank Sector - December 2019

Latham & Watkins LLP on 12/3/2019

Since it entered into force in 2018, the PRIIPs Regulation has raised a number of issues. These range from issues concerning the scope of the Regulation, in particular its application to corporate bonds and the impact this...more

Key Regulatory Topics: Weekly Update 4 October 2019 – 10 October 2019

A&O Shearman on 10/21/2019

BREXIT - FCA’s instructions on use of its Financial Instruments Transparency System - On 10 October, the FCA published instructions on its Financial Instruments Transparency System (FITRS). The system has been built to...more

Key Regulatory Topics: Weekly Update 30 August 2019 - 5 September 2019

A&O Shearman on 9/12/2019

BREXIT - Please refer to the Payment Services and Payment Systems section for an update regarding the operational implications of a “no-deal Brexit” on SCT and SDD transactions. ...more

Key Regulatory Topics: Weekly Update 18-25 April 2019

A&O Shearman on 5/6/2019

BREXIT - April version of PRA and BoE policy statement on Brexit and related final policy materials - On 18 April, the PRA and the BoE published a further version of their joint policy statement on amendments to...more

Financial Regulatory Observer – March 2019: FRO in-depth: The future of cryptoassets regulation

White & Case LLP on 4/1/2019

Partners Julia Smithers Excell and Stuart Willey, and associate Laura Kitchen of global law firm White & Case take a deep dive on the latest publications from EU and UK regulators aimed at providing supervisory clarity on the...more

In Principle - 10 Things Authorised Firms Need To Know For 2019

Akin Gump Strauss Hauer & Feld LLP on 1/31/2019

In the 2018 edition of this publication, we ended the introduction with the line, “We can only hope that we will enter 2019 with greater certainty than 2018 as to how the regulatory landscape will look.” Unfortunately,...more

Corporate & Financial Weekly Digest, Featuring Articles on Filing Obligations for OTC Securities, Customer Funds Training, Market...

Katten Muchin Rosenman LLP on 10/1/2018

BROKER-DEALER - FINRA Reminds Members of Obligations Related to OTC Securities Quoted by a Filed Form 211 - On September 24, the Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice (Notice)...more

UK Regulator Proposes Guidance on Obligations to Counter Insider Dealing and Market Manipulation

A&O Shearman on 4/11/2018

The Financial Conduct Authority has launched a consultation on adding a proposed chapter on insider dealing and market manipulation to its Financial Crime Guide. The Financial Crime Guide is not part of the FCA's rules but it...more

Regulation Round Up - February 2018

Proskauer Rose LLP on 3/9/2018

1 February - The European Commission ("EC") launched the EU Blockchain Observatory and Forum in order to highlight key developments of blockchain technology, promote and reinforce European engagement with multiple...more

Investment Funds Update Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 3/2/2018

FCA Report on Algorithmic Trading Compliance in the Wholesale Markets - The FCA published a report on “Algorithmic Trading Compliance in Wholesale Markets” on 12 February 2018. The report followed certain research into...more

In Principle: 10 Things Authorised Firms Need to Know for 2018 – The World of Financial Regulation as the UK Prepares to Exit the...

Akin Gump Strauss Hauer & Feld LLP on 1/25/2018

There is much for authorised firms to consider in the year ahead. Firms have been through the intensive period of the enactment of the second Markets in Financial Instruments Directive (MiFID II), but must now step up their...more

Corporate News – January 2018

Hogan Lovells on 1/23/2018

A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law....more

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European Union › Financial Conduct Authority (FCA) › EU Market Abuse Regulation (EU MAR)

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