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165 results for: financial services
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We are delighted to have assisted the Financial Markets Standards Board with its second edition of the Behaviour-pattern Conduct Analysis...
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The Quincecare duty has made the news once again. We recently commented on RBS v JP SPC 4 & another [2022] UKPC 18 and Philipp v Barclays...
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In its recent judgment in RBS v JP SPC 4 & another [2022] UKPC 18 the Privy Council has provided an important insight into the scope of...
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The EU’s review of the Alternative Investment Funds Management Directive, or AIFMD 2, is underway. The EU’s institutions are currently...
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Macfarlanes' Corporate Law Update reported on the Financial Conduct Authority (FCA)’s recently-published policy statement on diversity...
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The UK Prospectus Regime Review Outcome (PRRO) published by HM Treasury at the beginning of March 2022 gives us further insight into the...
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The Government has made and published Regulations that brought the Overseas Funds Regime (OFR) into effect from 23 February 2022. This is...
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Following a statement by Mairead McGuinness, European commissioner for financial services, towards the end of last year, the European...
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ESMA’s supervisory briefing on supervisory expectations in relation to firms using tied agents in the MiFID II framework will be...
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The European Securities and Markets Authority (ESMA) has sent a letter to the European Commission (EC) recommending that the temporary...
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Banks, insurers and enhanced-scope SMCR firms will have to comply with the operational resiliency requirements that come into force on 31...
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ESMA has announced that it is launching its third common supervisory action (CSA) on the EU asset management sector, this time focusing...
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The FCA has published a consultation that proposes to reform its financial promotion rules. The changes relate to "high-risk...
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On 18 January 2022, HM Treasury (HMT) published its response to its July 2020 consultation paper on cryptoasset promotions. This was...
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With effect from 17 January 2022, the Financial Conduct Authority (FCA) has decided to register both European DataWarehouse Ltd and...
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The FCA recently published a policy statement outlining changes to its decision-making processes, in order to make “faster and more...