1. Non-financial misconduct – FCA guidance expected
It is anticipated that in 2023 the Financial Conduct Authority (FCA) will provide further guidance on the increasingly
Continue Reading 5 Trends to Watch: 2023 UK Contentious Financial Regulation
FCA Publishes Final Rules for Reform of the Appointed Representative Sector
The UK Appointed Representative Regime (ARR) enables certain businesses – Appointed Representatives (ARs) – to conduct UK-regulated activities without having to be authorised by the
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ESG in UK Financial Services: The Current State of Play
The Financial Conduct Authority’s (FCA) work at the intersection of Environmental, Social and Governance (ESG) concerns and UK financial services forms part of a wider
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FCA Takes Next Step Towards a UK Consumer Duty: An Update for Regulated Businesses
In December 2021, the UK Financial Conduct Authority (FCA) published a consultation to set a higher standard of consumer protection in retail financial markets, an
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Principals in the Spotlight as UK’s FCA Consults on Changes to Appointed Representatives Regime
The Appointed Representatives Regime (ARR), a well-known and important feature of the UK regulatory landscape, enables certain businesses – Appointed Representatives (ARs) – to conduct
Continue Reading Principals in the Spotlight as UK’s FCA Consults on Changes to Appointed Representatives Regime
LIBOR Transition Newsletter – Issue 3
Welcome to the third issue of Greenberg Traurig’s LIBOR Transition Newsletter, where we provide updates, analysis, and occasional commentary on the latest developments relating to
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LIBOR Transition Newsletter – Issue 1
Welcome to Greenberg Traurig’s LIBOR Transition Newsletter, where we provide updates, analysis, and occasional commentary on the latest developments relating to the highly anticipated phasing-out
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The Financial Conduct Authority – Part 2 – Criminal & Civil Insider Dealing
In a February 2019 speech, the FCA’s Director of Market Oversight, Julia Hoggett, said the following:
The life blood of all well-functioning markets is the
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Prove It or Lose It: Lost It! NCA Uses New Powers to Freeze Accounts and Secure Substantial Asset Forfeiture
On 7 February 2019, the UK’s National Crime Agency (NCA) confirmed that it had obtained account forfeiture orders over money held in bank accounts in
The Financial Conduct Authority – Part 1 – Market Manipulation
The term ‘market manipulation’ is a broad one which can mean a number of things.
In this GT Advisory, we consider how market manipulation is
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