CP21/17 Climate Related Disclosures – Overview and Timeline
The aim of the new disclosure rules is to enhance transparency and enable clients and consumers to make considered choices, while remaining proportionate for firms. The UK Government have agreed […]
IFPR – Summary of the Third IFPR Consultation Paper – CP21/26
The FCA has published its third Consultation Paper on the implementation of the Investment Firms Prudential Regime (IFPR) (CP21/26), which will take effect from January 2022. CP21/26 is the third […]
The Coronavirus (COVID-19) Pandemic: A Summary of FCA Guidance & Regulatory Developments in the EU’s Investment Services and Capital Markets Sectors
The FCA has issued the following guidance to the financial services industry regarding the response that FCA expects firms to take in response to the Coronavirus (COVID-19) pandemic. The FCA […]
Brexit — FCA’s expectations of firms
The Treasury has published legislation to give the UK financial regulators the power to make transitional provisions connected to changes to financial services legislation. If the UK leaves the EU […]
ESMA renews CFD Restrictions
The European Securities and Markets Authority (ESMA) has agreed to renew the restriction on the marketing, distribution or sale of contracts for differences (CFDs) to retail clients, in effect since […]
Partnerships under the spotlight
Following the release of the Panama Papers in 2016, the mis-use of partnership structures by certain individuals is still an on-going subject. A consultation paper, published in April 2018 by […]
FCA releases near final rules on SM&CR for FCA regulated firms.
On 4 July 2018, the Financial Conduct Authority (“FCA”) released ‘The Senior Managers and Certification Regime: Guide for FCA solo-regulated firms’ on the extension of the Senior Managers and Certification […]
FCA Consulting on Senior Managers and Certification Regime (“SMCR”)
FCA plans for transitioning firms and individuals to the new regime.
General Data Protection Regulation (“GDPR”) – Deadline Approaching
Four months until implementation.
LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier Update
New requirements for trading on AIM.