FSR and Corporate Crime Notes

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 …

COVID-19: Pressure Points: FCA issues 'Dear CEO' letter with update to retail firms (UK)

The Financial Conduct Authority (FCA) has issued a ‘Dear CEO’ letter (the letter) with an update on key issues in light of COVID-19 to firms providing …

COVID-19: Short selling restrictions and other reporting developments in the EU

[This post was last updated on 16 April 2020 to reflect the extensions to the temporary bans on short selling by EU national regulators] SHORT SELLING …

FCA publishes information for firms on COVID-19

The FCA has published information for firms on COVID-19. Communication with the FCA will be key as the situation evolves, and we recommend that firms …

The month ahead in financial services regulatory developments…

SFC clarifies licensing obligations of PE firms and family offices which conduct business in Hong Kong

On 7 January 2020, the Securities and Futures Commission (SFC) issued two circulars to clarify aspects of the licensing obligations applicable to private …

Building Operational Resilience: UK regulators launch consultations

Corporate Crime update - December 2019