ESMA Publishes Statement on Trading Obligation for Shares Under MiFIR After...
On October 26, the European Securities and Markets Authority (ESMA) published a statement on the impact of the UK’s departure from the EU on December 31, relating to the requirement for EU investment...
View ArticleRegulatory Capital – UK Authorities Jointly Publish Statement on New UK...
On November 16, the UK’s HM Treasury, Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) jointly published a statement on the introduction of the new Investment Firms...
View ArticleHM Treasury Call For Evidence on UK Overseas Framework and Overseas Persons...
On December 15, the UK’s HM Treasury published a call for evidence on the UK framework for financial services firms based overseas that are seeking to conduct activities in the UK. The purpose of the...
View ArticleUK Regulatory Capital/Prudential Rules: FCA Publishes First Consultation on...
On December 14, the UK’s Financial Conduct Authority (FCA) published its first consultation paper on the implementation of the Investment Firms Prudential Regime (IFPR) (CP20/24) with its proposal for...
View ArticleESMA Reminds Firms of MiFID II Rules on Reverse Solicitation Post-Brexit
On January 13, the European Securities and Markets Authority (ESMA) published a statement reminding firms of the requirements under the Markets in Financial Instruments Directive (MiFID II) relating to...
View ArticleFCA Publishes SEC MoU on Financial Services Supervision Post-Brexit
On January 22, the UK’s Financial Conduct Authority (FCA) published an amended and restated memorandum of understanding (MoU) between itself and the US Securities and Exchange Commission (SEC) in light...
View ArticleUK Treasury Announces Technical Discussions on MoU on UK-EU Regulatory...
On March 26, HM Treasury published a press release announcing it had concluded technical discussions on the text of the Memorandum of Understanding (MoU) for UK-EU regulatory cooperation in financial...
View ArticleAML: UK Government Publishes Money Laundering and Terrorist Financing...
On March 25, the UK Government published the Money Laundering and Terrorist Financing (Amendment) (High-Risk Countries) Regulations 2021 (SI 2021/392) on its website together with an explanatory...
View ArticleCFTC Staff Provides Further Brexit-Related Relief
On April 8, the Market Participants Division (MPD), Division of Clearing and Risk (DCR), Division of Data (DOD) and Division of Market Oversight (DMO) of the Commodity Futures Trading Commission...
View ArticleFCA Consults on Changes to Conduct and Organizational Rules Under UK MiFID
On April 28, the Financial Conduct Authority (FCA) launched a consultation paper (CP21/9), alongside HM Treasury, on changes to the conduct and organizational rules in the UK Markets in Financial...
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