This 5 Trends piece covers non-financial misconduct, the Senior Managers and Certification Regime, FCA investigations and Upper Tribunal proceedings, motor finance, and FCA Sustainability Disclosure Requirements.
Continue Reading 5 Trends to Watch: 2024 UK Financial Services Regulation
In November 2023, after several years of negotiation, the Council of the European Union published the detailed compromise text for the Alternative Investment Fund Managers
Continue Reading AIFMD II: New Regulation of Debt Funds and Other Key Changes
On 12 April, the European Supervisory Authorities (ESMA, EBA, and EIOPA1) published a Consultation Paper proposing amendments to the European Commission’s Regulatory Technical
Continue Reading SFDR Update: European Regulators Issue New Consultation & European Commission Provides New Guidance
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
The 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
A comparison of the new Dutch Scheme and the new UK Restructuring Plan.
The European restructuring landscape continues to evolve with the recent introduction of
In the first of our two-part series, we looked at Unexplained Wealth Orders (UWOs). To summarize, UWOs require the recipient to explain how they
Continue Reading Prove It or Lose It! Part II: Civil Recovery Orders