Market Abuse Regime: Overview for Offical List Companies
- INTRODUCTION The Market Abuse Regulation ("MAR") will replace the existing market abuse regime from 3 July 2016. MAR is designed to introduce a common regulatory framework on market abuse across the...
View ArticleMarket Abuse Regime: Overview for AIM companies
INTRODUCTION The Market Abuse Regulation ("MAR") introduces a new market abuse regime from 3 July 2016. MAR is designed to introduce a common regulatory framework on market abuse across the EU and...
View ArticleBrexit: How will it impact asset and fund managers?
Following the result of the UK referendum on 23 June 2016 to leave the EU, there is still a considerable amount of uncertainty about the impact of the decision on the financial services industry,...
View ArticleFCA MiFID II Consultation Paper: How FCA plans to implement parts of MiFID II
On 29 July 2016, the FCA released consultation paper 16/19: MiFID II Implementation. The FCA is seeking stakeholders' views on its proposals for changes to the Handbook to implement the requirements of...
View ArticleFCA considers promotion, conflicts of interest and governance of dark pools...
On 21 July 2016, the Financial Conduct Authority (FCA) published the results of a thematic review, in which they examined 'dark pools' - trading venues with no pre-trade transparency, where the price...
View ArticleLatest FCA consultations on the UK implementation of MiFID II
On 15 May 2014, the European Parliament adopted the legislative proposal on the second Directive on Markets in Financial Instruments (MiFID II) and the Regulation on Markets in Financial Instruments...
View ArticleFCA proposes new measures to maintain focus on individual accountability and...
On 28 September 2016, the Financial Conduct Authority (FCA) marked six months since the implementation of the Senior Managers and Certification Regimes by providing feedback on its implementation so...
View ArticleGlobal Financial Markets Insight - Issue 11, 2016
As we come to the end of 2016 we re ect on a year characterised by events that have sent political shockwaves through the world’s major markets and consider what this may mean for the coming year. The...
View ArticleFinancial regulation in 2017: Europe and the US
The result of the UK referendum on its EU membership and the outcome of the US Presidential elections of 2016 have laid the ground for 2017 to be a year of transition for both Europe and the United...
View ArticleAnti-money laundering bulletin - Spring 2017
DLA Piper’s Financial Services Regulatory team welcomes you to the Spring 2017 edition of our Anti-Money Laundering (AML) Bulletin. In this issue, we provide updates on AML developments and enforcement...
View ArticleFinance and Markets Global Insight - Issue 13, 2017
This issue of Finance and Markets Global Insight reflects the ongoing evolution of global financial markets as financers and businesses continue to grapple with the two key themes of innovation and...
View ArticleExtension of the senior managers and certification regimes
The global financial crisis highlighted the difficulties with the culture in banks and in holding individuals to account for their failings. To help prevent the reoccurrence of these failings, the...
View ArticleAnti-money laundering bulletin - Autumn 2017
DLA Piper’s Financial Services Regulatory team welcomes you to the Autumn 2017 edition of our Anti-Money Laundering (AML) Bulletin. In this issue, we provide updates on AML developments in the UK and...
View ArticleMarket Abuse Regime: Overview for Offical List Companies
- INTRODUCTION The Market Abuse Regulation ("MAR") will replace the existing market abuse regime from 3 July 2016. MAR is designed to introduce a common regulatory framework on market abuse across the...
View ArticleMarket Abuse Regime: Overview for AIM companies
INTRODUCTION The Market Abuse Regulation ("MAR") introduces a new market abuse regime from 3 July 2016. MAR is designed to introduce a common regulatory framework on market abuse across the EU and...
View ArticleBrexit: How will it impact asset and fund managers?
Following the result of the UK referendum on 23 June 2016 to leave the EU, there is still a considerable amount of uncertainty about the impact of the decision on the financial services industry,...
View ArticleFCA MiFID II Consultation Paper: How FCA plans to implement parts of MiFID II
On 29 July 2016, the FCA released consultation paper 16/19: MiFID II Implementation. The FCA is seeking stakeholders' views on its proposals for changes to the Handbook to implement the requirements of...
View ArticleFCA considers promotion, conflicts of interest and governance of dark pools...
On 21 July 2016, the Financial Conduct Authority (FCA) published the results of a thematic review, in which they examined 'dark pools' - trading venues with no pre-trade transparency, where the price...
View ArticleLatest FCA consultations on the UK implementation of MiFID II
On 15 May 2014, the European Parliament adopted the legislative proposal on the second Directive on Markets in Financial Instruments (MiFID II) and the Regulation on Markets in Financial Instruments...
View ArticleFCA proposes new measures to maintain focus on individual accountability and...
On 28 September 2016, the Financial Conduct Authority (FCA) marked six months since the implementation of the Senior Managers and Certification Regimes by providing feedback on its implementation so...
View Article