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 RegulationLegal Advisers for a Changing World
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 RegulationThe UK Appointed Representative Regime (ARR) enables certain businesses – Appointed Representatives (ARs) – to conduct UK-regulated activities without having to be authorised by the…
Continue Reading FCA Publishes Final Rules for Reform of the Appointed Representative Sector
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…
Continue Reading ESG in UK Financial Services: The Current State of Play
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…
Continue Reading FCA Takes Next Step Towards a UK Consumer Duty: An Update for Regulated Businesses
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
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…
Continue Reading LIBOR Transition Newsletter – Issue 3
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…
Continue Reading LIBOR Transition Newsletter – Issue 1
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…
Continue Reading The Financial Conduct Authority – Part 2 – Criminal & Civil Insider Dealing
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 term ‘market manipulation’ is a broad one which can mean a number of things.
In this GT Advisory, we consider how market manipulation is…
Continue Reading The Financial Conduct Authority – Part 1 – Market Manipulation