In this blog post, we round-up forthcoming developments in the UK and at EU and International levels in financial services regulation which are expected for December 2021 and January 2022. Read more

Scott Balber and Pamela Terry have contributed to Global Investigations Review’s The Guide to International Enforcement of Securities Laws with a chapter entitled “Strategic Considerations in Cross-Border Investigations”. Read more

On 9 November 2021, HM Treasury (HMT) published a consultation paper on the Future Regulatory Framework Review for financial services. This paper builds on the topics and feedback received to the previous consultation paper from October 2020 and the broader vision for Better Regulation set out in the BEIS consultation from July 2021. Read more

In this blog post, we round-up forthcoming developments in the UK and at EU and International levels in financial services regulation which are expected for November 2021. Read more

Herbert Smith Freehills LLP have published an article in Butterworths Journal of International Banking and Financial Law on the litigation and regulatory risks for special purpose acquisition companies (SPACs) in England & Wales. Read more

In this blog post, we draw out from the enforcement cases the regulatory expectations on sponsors where red flags, such as third-party payments and documentary irregularities, are discovered during the IPO process or where there are heightened risks due to material distributorships. Read more

The Hong Kong Stock Exchange has launched a consultation paper on proposals to create a listing framework for special purpose acquisition companies (SPACs) in Hong Kong. Read more

With just four months to go until the start of the Investment Firms Prudential Regime (IFPR) on 1 January 2022, the FCA has recently published policy statements to its first two consultations on the IFPR. The FCA also published its (third and) final consultation paper on the IFPR, CP21/26. Read more