On 15 December 2015, the FCA published its first consultation paper on the implementation of the Markets in Financial Instruments Directive II (MiFID II) (Consultati
December 16, 2015
On 14 October 2015, HM Treasury announced proposals to change the Senior Managers’ and Certification Regimes (SMCR) introduced by the Financial Services (Banking Ref
October 19, 2015
On 28 September 2015, the European Securities and Markets Authority (ESMA) published final drafts of 28 technical standards that it is mandated to produce under...
October 06, 2015
On 18 September 2015, the FCA published two guides that set out its new approach to the supervision of firms.
September 24, 2015
Since last summer the PRA and FCA have been consulting on a new individual accountability framework. The framework itself has three limbs: the Senior Managers’ Regim
July 28, 2015
While the headline changes to the MiFID regime center on market infrastructure, there are many changes being made to investor protection requirements.
May 14, 2015
On 27 March 2015, HM Treasury published a consultation document which set out in draft form the following statutory instruments which are considered necessary to tra
May 07, 2015
The UK General Election will take place on 7 May and is expected to be one of the most closely contested for a generation.
April 15, 2015
At the moment the Financial Services and Markets Act 2000 (FSMA) gives the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) certain po
April 13, 2015
Over the last couple of months there have been a number of FCA / PRA papers on the new senior managers’ (SMR) and certification regime.
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