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Searching Content indexed under Financial Services by John Verwey ordered by Published Date Descending.
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1
Regulation Round Up (September 2019)
The Financial Conduct Authority ("FCA") updated its webpage relating to its guidance consultation on the fair treatment of vulnerable customers.
European Union
17 Oct 2019
2
Senior Managers And Certification Regime - Extension To All FCA Authorised Firms Is Coming
On 9th December 2019, the Senior Managers and Certification Regime (SMCR) will replace the current Financial Conduct Authority
United States
9 Oct 2019
3
Regulation Round Up - August 2019
The Financial Conduct Authority ("FCA") published an insight article on artificial intelligence ("AI") in the boardroom. The article considers various AI-related issues in the boardroom.
UK
30 Aug 2019
4
Brexit Update – Luxembourg's Transitional Regime For UK Firms In ‘Hard Brexit' Scenario
In early August 2019, the Luxembourg regulator, the Commission de Surveillance du Secteur Financier (the "CSSF"), confirmed in a press release that it had opened an online portal to allow UK firms currently using a financial...
European Union
21 Aug 2019
5
FCA To Introduce Reforms To UK Overdraft Market
On 7 June 2019, the Financial Conduct Authority ("FCA") confirmed that it is introducing reforms in relation to the overdraft market, set out in its policy statement PS19/6.
UK
2 Jul 2019
6
Regulation Round Up - May 2019
The Financial Conduct Authority ("FCA") published a call for input on its evaluation of the Retail Distribution Review and Financial Advice Markets Review.
UK
17 Jun 2019
7
UK Financial Conduct Authority Identifies Significant Shortcomings In Firms Operating Appointed Representative Platforms
On 20 May 2019, the UK Financial Conduct Authority ("FCA") published its findings of its multi-firm review into the supervision by principal firms ...
UK
11 Jun 2019
8
Regulation Round Up - April 2019
The Financial Conduct Authority ("FCA") published a statement announcing that it is commissioning an investigation by an independent person into the issues raised by the failure of London Capital & Finance.
United States
10 May 2019
9
Regulation Round Up - March 2019
The European Banking Authority ("EBA") published an opinion on deposit protection resulting from the United Kingdom's ("UK") withdrawal from the European Union ("EU")
UK
3 May 2019
10
Regulation Round Up - February 2019
The Financial Conduct Authority ("FCA") published a press release announcing that it has agreed with the European Securities and Markets Authority
UK
13 Mar 2019
11
Guidance On Cryptoassets: UK Financial Conduct Authority Issues Consultation Paper
On January 23, 2019, the UK Financial Conduct Authority ("FCA") issued its widely anticipated "Guidance on Cryptoassets" consultation paper CP19/3 (the "Consultation").
UK
11 Mar 2019
12
Regulation Round Up - January 2019
The Financial Conduct Authority ("FCA") published a press release explaining that claims management companies can now register for the temporary permission they will need to continue operating when the FCA takes over...
UK
8 Feb 2019
13
Regulation Round Up December 2018
The European Central Bank ("ECB") published a document setting out its cyber resilient oversign expectations for financial market infrastructures.
UK
8 Jan 2019
14
Regulation Round Up – November 2018
The Prudential Regulation Authority ("PRA") updated its consultation paper on changes to the PRA Rulebook and onshored binding technical standards.
European Union
7 Dec 2018
15
Regulation Round Up - October 2018
The Competition and Markets Authority published a paper that was prepared jointly with the Financial Conduct Authority setting out the lessons that have been learned from the programme of work conducted by the UK Competition Network.
UK
8 Nov 2018
16
Regulation Round Up - September 2018
The Prudential Regulation Authority ("PRA") published its Regulatory Digest for August 2018 in which it highlighted key regulatory news including reference to a NISU that the PRA and the FCA launched jointly.
UK
4 Oct 2018
17
6 Months To Brexit: Implications And Contingency Planning For Fund Managers
The United Kingdom ("UK") formally notified the European Union ("EU") of its intention to leave the EU under Article 50 of the EU's Lisbon Treaty in March 2017.
European Union
17 Sep 2018
18
Regulation Round Up - August 2018
The Financial Conduct Authority ("FCA") published a statement on selling high-risk speculative investment products to retail clients, following the publication of the European Securities...
UK
6 Sep 2018
19
Brexit Update: UK Provides More Details On Its Proposed Temporary Permissions Regime
On 29 March 2019, the UK is set to leave the EU (a process most commonly referred to as "Brexit").
European Union
3 Aug 2018
20
Regulation Round Up - June 2018
The Financial Conduct Authority ("FCA") published its quarterly consultation (CP18/14), proposing certain changes to the FCA rules.
UK
10 Jul 2018
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