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European Union › Financial Conduct Authority (FCA) › Retail Investors

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... more +
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 -
Proskauer Rose LLP

Regulation Round Up - May 2024

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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

Proskauer - Regulatory & Compliance

The FCA’s Agenda for UK Asset Management

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Background - On 23 May 2024, Ashley Alder, the Chair of the UK Financial Conduct Authority (“FCA”), delivered a speech which outlined the regulator’s agenda for the asset management sector (the “Speech”). In particular,...more

BCLP

Corporate Briefing - August 2023

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Welcome to the Corporate Briefing, where we review the latest developments in UK corporate law that you need to know about. In this month’s issue, we discuss...more

A&O Shearman

Key Regulatory Topics: Weekly Update 19 May - 25 May 2023

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The consumer/retail sector has been the subject of a number of publications this week, including the European Commission’s Retail Investment Package and the FCA’s consultation on a new framework for firms to better support...more

Goodwin

Private Fund Managers and Retail Investment in the UK and EU: Comparing the UK’s Long Term Asset Fund

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The UK Financial Conduct Authority (FCA) has just announced its first authorisation of a Long Term Asset Fund (LTAF). We have written about the FCA’s increased focus on continuing access by retail investors to wholesale or...more

K2 Integrity

Implications of Mounting Legal and Regulatory Scrutiny on Binance

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Binance Holdings Limited (Binance), the world’s largest cryptocurrency exchange platform by trading volume, is facing growing legal and regulatory scrutiny across many jurisdictions, signaling increasing pressure on the...more

Latham & Watkins LLP

FCA Consults on Post-Brexit Changes to PRIIPS Regulation

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UK rules will diverge from the much-criticised EU framework. On 20 July 2021, the FCA published a Consultation Paper (CP21/23) on amending the UK PRIIPs Regulation. The FCA has long held concerns about the PRIIPs...more

Latham & Watkins LLP

ESMA Statement Warns on Payment for Order Flow

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New ESMA guidance less strict than the established UK position on PFOF. On 13 July 2021, ESMA published a statement on payment for order flow (PFOF), the practice of brokers receiving payments from third parties for...more

Latham & Watkins LLP

Private Bank Briefing – June 2021

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The latest edition of our Private Bank Briefing provides a roundup of legal and compliance issues impacting private banks and their clients from Q2 2021. In this edition, we cover sustainable finance developments, the...more

Latham & Watkins LLP

Private Bank Briefing – March 2021

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ESMA reminds firms on rules of reverse solicitation - In a statement published on 13 January 2021, ESMA reminded firms not established or situated in the EU of the MiFID II requirements on the provision of investment...more

Hogan Lovells

Securities and markets regulatory news, June 2020 #3

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Marketing speculative illiquid securities to retail investors: FCA CP20/8 - The UK Financial Conduct Authority (FCA) has published a consultation paper, CP20/8, "High-risk investments: Marketing speculative illiquid...more

Proskauer Rose LLP

Regulation Round Up - November 2019

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1 November - The Prudential Regulation Authority ("PRA") published a Dear CEO letter in relation to the reliability of regulatory returns. Firms are expected, if asked, to be able to respond promptly to a request from...more

A&O Shearman

Key Regulatory Topics: Weekly Update 22 to 28 November 2019

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CONDUCT - FCA guidance on approving financial promotions - On 26 November, the FCA published guidance on approving financial promotions for unauthorised persons. The guidance sets out some practical implications of the...more

A&O Shearman

EU Restrictions on Contracts for Difference Lifted in Wake of National Measures

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The European Securities and Markets Authority has announced that it will not again renew its product intervention measure for Contracts for Differences. ESMA's product intervention powers under the Markets in Financial...more

A&O Shearman

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

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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

A&O Shearman

EU to Lift Temporary Ban on the Sale of Binary Options to Retail Clients in Wake of National Measures

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The European Securities and Markets Authority has ended its temporary prohibition on the marketing, distribution or sale of binary options to retail clients. ESMA's product intervention powers under the Markets in Financial...more

Dechert LLP

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

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FCA Consults on Rules for Post-Brexit Temporary Permissions Regime for Incoming EEA Firms and Funds - The UK government is proposing to implement a “temporary permissions regime” to cover “inbound” European Economic Area...more

A&O Shearman

EU Contracts for Difference Product Intervention Measures to be Extended

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The European Securities and Markets Authority has announced that its various restrictions on the sale, distribution and marketing of Contracts for Difference to retail investors will be extended from November 1, 2018 for a...more

A&O Shearman

EU Ban Relating to Binary Options Extended

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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

Dechert LLP

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

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Commons Treasury Committee report on crypto-assets - The House of Commons Treasury Committee published its report on crypto-assets. The report relates to the digital currencies inquiry the Committee launched earlier this...more

A&O Shearman

European Securities and Markets Authority Confirms Product Intervention for Contracts for Difference and Binary Options

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The European Securities and Markets Authority has confirmed that it will use its product intervention powers under the Markets in Financial Instruments Regulation to prohibit the marketing, distribution and sale of binary...more

A&O Shearman

Key Regulatory Topics: Weekly Update (23 Feb - 1 March 2018)

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BREXIT - UK Government response to HoC Treasury Committee report on transitional arrangements - On 27 February, the HoC Treasury Committee published the UK government's response to the Committee's report on transitional...more

Proskauer Rose LLP

EU PRIIPs Regulation – Relevance to Fund Managers Explained

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Background - On 1 January 2018, European Union (EU) Regulation (No 1286/2014)[1] on key information documents for packaged retail and insurance-based investment products (PRIIPs) comes into force. It will require that a...more

Proskauer Rose LLP

FCA Assesses Whether Fund Managers are Meeting Investor Expectations

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On April 7, 2016, the United Kingdom (UK) Financial Conduct Authority (FCA) published a report (Thematic Review TR16/3: Meeting investors' expectations) (Report) containing its conclusions regarding a thematic review...more

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