News & Analysis as of

Proposed Regulation MiFID II United Kingdom

A&O Shearman

UK Conduct Authority Consults on Changes to the Derivatives Trading Obligation

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The Financial Conduct Authority has launched a consultation on three proposed amendments to different aspects of the U.K. derivatives trading obligation. The consultation is part of the Wholesale Markets Review. The Markets...more

A&O Shearman

UK wholesale markets review update: CP 22/18 and the trading venue perimeter

A&O Shearman on

On 22 September 2022, the Financial Conduct Authority (FCA) published its consultation paper (CP 22/18, the CP) which proposes new guidance on the trading venue perimeter. The CP follows on from the discussion on this as part...more

A&O Shearman

Key Regulatory Topics: Weekly Update 8 March - 14 March 2019

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BREXIT - On 7 February, ordinance no. 2019-75 relating to the preparatory measures in connection with the United-Kingdom’s withdrawal from the European Union in respect of financial services (the Ordinance) was published. ...more

A&O Shearman

Draft UK Post-Brexit Legislation to Onshore the EU Markets in Financial Instruments Package

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HM Treasury has published a draft of the Markets in Financial Instruments (Amendment) (EU Exit) Regulations 2018, along with explanatory information. The draft Regulations are primarily relevant for MiFID II-authorized firms...more

A&O Shearman

Allen & Overy's weekly update on Key Regulatory Topics - 8 June 2018 – 14 June 2018

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BREXIT - Please see the Payment Systems and Payment Services section for an update on the HoC’s European Scrutiny Committee thirtieth report of the 2017-19 parliamentary session....more

A&O Shearman

Raising the Bar? SEC Proposes Broker-Dealer Standard of Care and Guidance on Investment Advisers’ Fiduciary Standard

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On April 18, 2018, the U.S. Securities and Exchange Commission (“SEC”) took the long-awaited step of proposing rules, interpretations and guidance (the “Proposed Rules”) that would seek to enhance and clarify the standards of...more

Proskauer Rose LLP

Regulation Round Up - October 2017

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3 October - The Prudential Regulator Authority (PRA) published a policy statement on strengthening accountability in banking and changes to senior managers regime (SMR) forms. The changes to the SMR forms will become live on...more

Proskauer Rose LLP

Regulation Round Up - September 2017

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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

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