News & Analysis as of September 18, 2024

Policy Statement

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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 -

UK Regulator Finalizes Payment Optionality Rules

A&O Shearman on 8/2/2024

Under the revised U.K. rules, from August 1, 2024, third-party research will not be an inducement if it is received in return for one of the following: The FCA has confirmed that research services are not a factor in...more

2024 Annual Reporting Season: Key Considerations

White & Case LLP on 11/1/2023

Planning for the 2024 annual reporting season is underway. We summarise the key legislative changes affecting London-listed companies for the upcoming season along with best practice recommendations....more

FCA Confirms New Rules to Improve Oversight of Appointed Representatives - Insights

Proskauer Rose LLP on 8/16/2022

On 3 August 2022, the UK’s Financial Conduct Authority (“FCA”) published a policy statement (PS22/11) on improvements to the appointed representatives (“ARs”) regime. The FCA consulted on amendments to the AR framework in...more

Regulation Round Up - October 2021

Proskauer Rose LLP on 11/4/2021

The Financial Stability Board published its final report on the lessons learnt from the COVID-19 pandemic from a financial stability perspective. The Financial Conduct Authority (“FCA”) published a report on climate change...more

Regulation Round Up - September 2021

Proskauer Rose LLP on 10/6/2021

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

Financial institutions general regulatory news, September 2020 # 2

Hogan Lovells on 9/15/2020

PRA PS20/20: response to CP3/20 occasional paper - Following its March 2020 occasional consultation paper (CP3/20), the UK Prudential Regulation Authority (PRA) has published a policy statement, PS20/20, setting out its...more

Regulation Round Up - July 2020

Proskauer Rose LLP on 8/7/2020

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

Coronavirus (COVID-19): UK FCA and EU ESMA Issue Statements on Pandemic

Morgan Lewis on 3/17/2020

The EU watchdog, The European Securities and Markets Authority (ESMA), which coordinates securities market supervision across the 27 countries of the European Union, announced on March 11 that it was prepared to use its...more

UK Financial Conduct Authority Publishes Near-Final Rules for Implementation of the EU Benchmarks Regulation

A&O Shearman on 1/12/2018

The UK Financial Conduct Authority has published a Policy Statement setting out responses to its earlier consultation in June 2017 on proposed Handbook changes to ensure that the Handbook is consistent with the provisions of...more

FCA Publishes Policy Statement Setting Out Changes to the Listing Rules, European Capital Markets Update

Jones Day on 12/7/2017

The United Kingdom's Financial Conduct Authority ("FCA") published a policy statement on 26 October 2017 setting out certain amendments to the Listing Rules ("LRs") and related technical notes ("Policy Statement"). The FCA...more

Regulation Round Up - September 2017

Proskauer Rose LLP on 10/11/2017

1 September - The Prudential Regulation Authority (PRA) updated its April 2017 public disclosure with Template A (Disclosure of Aggregate Statistical Data with regard to Insurance and Reinsurance Undertakings) and Template...more

MiFID II – Second Policy Statement and Further Consultation

Latham & Watkins LLP on 7/5/2017

The FCA has published its second Policy Statement on MiFID II implementation, plus a further Consultation Paper on residual issues. Key Points: ..The FCA has made significant changes to some proposals, particularly in...more

FCA’s Latest Papers on the Implementation of MiFID II

Latham & Watkins LLP on 4/4/2017

Fifth Consultation Paper and first Policy Statement issued, with the FCA’s second Policy Statement due in June. The FCA has just published two further papers on its approach to implementing MiFID II. The first, which is...more

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