by Emma Cleveland | 2017-03-08 | Industry News
One of the FCA’s many objectives is to ensure that markets function well and subsequently that the UK’s primary markets remain effective. This consultation paper (the “CP”) sets out the FCA’s proposals to enhance certain aspects of the Listing Rules sourcebook (the...
by Emma Cleveland | 2017-03-02 | Industry News
The government has recently proposed a draft Order to amend the Limited Partnerships Act 1907 (the “Act”) to introduce a Private Fund Limited Partnership (“PFLP”) structure. It is due to come into force on 6 April 2017. The Order is part of a package of reforms that...
by Emma Cleveland | 2017-02-28 | Industry News
John Griffith Jones, Chairman at the Financial Conduct Authority, (“FCA”) has recently given a speech about good conduct regulation. We set out below a summary of that speech, which draws out the key points: Mr Griffith Jones’ speech makes clear that: good conduct...
by Emma Cleveland | 2017-02-23 | Industry News
On 8 February 2017, the International Organisation of Securities Commissions (“IOSCO”) released a report which describes the evolution of innovative business models, based on FinTech, which are transforming the financial services industry. This report looks to various...
by Emma Cleveland | 2017-02-22 | Our News
We have developed a range of amendment templates that you can use to update all your agreements to comply with MiFID II. This will be a cost effective and efficient way for firms to ensure compliance with the new directive coming into force on 3 January 2018. For...
by Emma Cleveland | 2017-02-16 | Industry News
The Financial Stability Board (“FSB”) have recently published two reports on the re-hypothecation of client assets (defined as any use of client assets by a financial intermediary) and non-cash collateral re-use. The reports broadly conclude that there is no immediate...
