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News And Insights

  • Regulatory Update

FCA and PRA multi-firm review on Algorithmic Trading Compliance in Wholesale Markets

The FCA and PRA have been reviewing firms’ algorithmic trading activity and have issued supervisory
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  • Regulatory Update

GDPR Compliance is now a board level responsibility

The Financial Conduct Authority (“FCA”) have stated that compliance with the EU General Data Protection
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  • Regulatory Update

SM&CR: FCA to consult on proposals to make information available on a wider range of individuals at authorised firms

Under SM&CR proposals, only Senior Managers will appear on the FS Register; CF10As for Core
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  • Regulatory Update

FCA CP18/4 The European Money Market Funds Regulation

The FCA is consulting in CP18/4 on the EU Money Market Funds (“MMF”) Regulation, which
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  • Regulatory Update

Brexit: EC notices issued stating potential consequences relating to UCITS, MiFID and AIFMD

The UK will become a 'third country' on 30 March 2019, unless a ratified withdrawal
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  • Regulatory Update

FCA Consulting on Senior Managers and Certification Regime (“SMCR”)

FCA plans for transitioning firms and individuals to the new regime.
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