News & Analysis as of October 19, 2024

Securities

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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 -

The UK Digital Securities Sandbox is officially open

A&O Shearman on 10/17/2024

On September 30, 2024, the UK Digital Securities Sandbox was officially declared open. The announcement was made by the Bank of England (BoE) and the UK Financial Conduct Authority (FCA), following the consultation earlier...more

Financial Conduct Authority Consults on New Public Offer Platform Regime

A&O Shearman on 7/26/2024

The Financial Conduct Authority has launched a consultation on proposed rules for a new public offer platform regime, which will allow public offer platforms to facilitate companies making public offers of securities to...more

UK Public Offers and Admissions to Trading Regulations Published

A&O Shearman on 3/7/2024

On January 29, 2024, the Public Offers and Admissions to Trading Regulations 2024 (SI 2024/105) were published. The Regulations implement the new Public Offers and Admission to Trading Regime, part of the new designated...more

UK Draft Short Selling Regulations Published

A&O Shearman on 12/1/2023

The U.K. government has published a draft version of the Short Selling Regulations 2024. The draft SSR 2024 will replace the existing U.K. Short Selling Regulation, which was onshored from the EU and which is being repealed...more

Regulation Round Up - October 2023

Proskauer Rose LLP on 11/7/2023

Fund Tokenisation: The Financial Conduct Authority (“FCA”) published a press release announcing that it has joined the Monetary Authority of Singapore’s Project Guardian, a collaborative initiative with the financial industry...more

Bank Launches Blockchain Network; Stablecoin Initiatives Launch in Foreign Markets; New Crypto Guidance Published; Reports Provide...

BakerHostetler on 10/16/2023

U.S. Bank Launches Blockchain Network, Crypto Bank Gains Securities License - According to recent reports, the largest bank in the U.S. has gone live with its blockchain-based Tokenized Collateral Network (TCN) and...more

A Closer Look at the Proposed UK Cryptoassets Regulatory Regime

Skadden, Arps, Slate, Meagher & Flom LLP on 3/30/2023

In February 2023, the UK Treasury (HMT) published its consultation and call for evidence on the future financial services regulatory regime for cryptoassets (Consultation Paper). This is part of Phase 2 of HMT’s effort to...more

EU Publishes Final Amendments to Cash Penalty Process for Cleared Trades

A&O Shearman on 11/30/2022

The European Securities and Markets Authority has published its Final Report and draft Regulatory Technical Standards amending the cash penalty process for cleared transactions under the EU Central Securities Depositories...more

EU Proposes to Amend Cash Penalty Process for Cleared trades

A&O Shearman on 9/19/2022

The European Securities and Markets Authority has opened a consultation in which it proposes to amend the cash penalty process for cleared transactions under the EU Central Securities Depositories Regulation. The EU CSDR...more

The Share Trading Obligations – A New Year’s Mess

BCLP on 12/23/2020

Diverging approaches to Share Trading Obligations from the FCA and ESMA pose challenges for investment firms in a post-Brexit Europe. With 1 January 2021 creeping closer and the hope of securing an effective Brexit deal...more

Private Bank Briefing: Issues Impacting the Private Bank Sector - December 2020

Latham & Watkins LLP on 12/8/2020

Ahead of the end of the Brexit transition period, on 31 December 2020, regulators in the UK and the EU have issued a number of updates: Share trading obligation - In relation to the potential conflict between the share...more

The UK National Investment and Security Bill is published

A&O Shearman on 11/13/2020

On 11 November 2020, the U.K. Government announced long-awaited and extensive reforms to the U.K. foreign investment regime. The reforms proposed are more significant than anticipated and include a mandatory notification...more

Latest UK Developments on the Regulation of Cryptoassets

Latham & Watkins LLP on 8/2/2019

FCA finalises guidance on cryptoassets and consults on product intervention measures. FCA guidance on the regulation of cryptoassets - As previously reported in this blog, the FCA consulted on guidance on cryptoassets...more

Financial Regulatory Observer – June 2019: No-deal Brexit: Challenges for trading venues and their participants

White & Case LLP on 7/1/2019

There is no silver bullet for maintaining cross-border trading if the UK leaves the EU without a deal. The date of Brexit has been delayed until (at least) October 31, 2019, but there is little sign that financial...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

FCA publishes Consultation Paper ahead of new EU Prospectus Regulation

Dechert LLP on 2/6/2019

On 28 January 2019, the United Kingdom’s (the “UK”) Financial Conduct Authority (the “FCA”) published its “Changes to align the FCA Handbook with the EU Prospectus Regulation” consultation paper1 (the “Consultation Paper”)....more

ESMA Clarifies The Application of The Prospectus Directive and Transparency Directive in The Event of a "No-Deal" Brexit

Dechert LLP on 2/4/2019

In a series of votes on 29 January 2019, the parliament of the United Kingdom (the “UK”) rejected proposals aimed at preventing the UK from leaving the European Union (the “EU”) on 29 March 2019 without a Withdrawal Agreement...more

Update on the Status of Initial Coin Offerings in Europe

White & Case LLP on 2/1/2019

With crypto-currencies on the rise and technological developments providing great opportunities in the financial services sector, Initial Coin Offerings ("ICO") provide an innovative way of raising capital. They are...more

FCA CP18/36 — The Second Brexit Onshoring Consultation

Latham & Watkins LLP on 11/29/2018

The FCA has published a second consultation on the Brexit onshoring project. Like the first, and many other Brexit onshoring documents, it is both long and very technical. However, a number of important policy points are...more

Bridging the Week - July 2015 #2

Katten Muchin Rosenman LLP on 7/14/2015

Alleged Fictitious Sales to Facilitate Improper Money Pass Prompts CFTC Injunctive Action and Asset Freeze: The Commodity Futures Trading Commission filed a lawsuit in a federal court in Illinois against Yumin Li and Kering...more

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