The Standard Formula Podcast | Developments on the Horizon for the UK Change-in-Control Regulatory Regime
Brexit & Financial Services: Preparing for the End of the Transition Period
The consultation sets out further detail on the government's proposals, announced as part of the Edinburgh Reforms in December 2022, to develop a venue for the intermittent trading of private company shares and seeks feedback...more
Businesses relying on exemptions for high net worth individuals and self-certified sophisticated investors should ensure they are prepared to comply with the updated requirements. On 7 November 2023, HM Treasury...more
The U.K. Financial Conduct Authority has published a consultation paper on proposed guidance on the regulatory perimeter for multilateral trading facilities and on possible future changes to smaller trading venues' regulatory...more
The U.K.’s policy approach to regulating secondary markets and investment firms, now that the U.K. has left the EU, has been confirmed by the government. Last year, HM Treasury conducted its Wholesale Markets Review proposing...more
Striking a balance between investor protection and market development - The U.K. is assessing its financial promotion framework, and changes are being made or proposed to amend the laws and rules. Financial promotions are...more
BROKER-DEALER - SEC Small Business Capital Formation Advisory Committee to Discuss Opportunities for Underrepresented Founders and Investors - On April 26, the Securities and Exchange Commission announced that its Small...more
In recent years environmental, social and governance ("ESG") factors have become a key discussion point within asset management, with many managers now incorporating ESG considerations within their investment processes. One...more