FSR and Corporate Crime Notes

PRA Dear CEO letter to firms on operational readiness for TPR

September 2020: The month ahead in financial services regulatory developments…

August 2020: The month ahead in financial services regulatory developments…

MiFID II: ESMA guidance on compliance function requirements

Megan Butler on the FCA’s response to Covid-19 and expectations for 2020

FCA to carry out a survey of firms’ financial resilience

The month ahead in financial services regulatory developments…

COVID-19: Temporary bans on short selling in the EU come to an end

Those national regulators in the EU which had put in place temporary restrictions on any short selling of securities admitted to trading on regulated …

The month ahead in financial services regulatory developments…

FCA publishes its Business Plan for 2020/21

ESMA proposes changes to MiFID II inducements and costs and charges disclosure regimes

On 1 April 2019 the European Securities and Markets Authority (ESMA) published its final report to the European Commission (EC) setting out its technical …

COVID-19: Governance: FCA and PRA publish statements on their expectations for regulated firms under SMCR (UK)

[This post was last updated on 11 May 2020 to reflect the latest FCA publication on SMCR for solo-regulated firms] The PRA and FCA have published two …