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In this blog post, we round-up key forthcoming developments in the UK and at EU and International levels in financial services regulation which are expected to happen in April and May 2022. Read more
In this blog post, we round-up key forthcoming developments in the UK and at EU and International levels in financial services regulation which are expected to happen in February and March 2022. Read more
In an article originally published in Global Banking Regulation Review, Jenny Stainsby, the head of Herbert Smith Freehills’ global financial services regulatory practice explains how the similarities between the FCA’s introduction of the Senior Managers and Certification Regime and current proposals for a consumer duty may be a harbinger of success for the latter. Read more
The FCA has now published its final rules on remuneration-related disclosures under the Investment Firms Prudential Regime (“MIFIDPRU”) that will apply to UK investment firms for performance years commencing on or after 1 January 2022. Read more
For some time now, the FCA has been concerned by the potential harm to consumers and markets that it considers can be caused by the use of the appointed representatives (AR) regime. Read more
The FCA has published CP 21/36 which includes proposed new rules and guidance setting out a Consumer Duty which it considers will "fundamentally shift the mindset of firms" and establish an appropriate level of care to consumers. The consultation is open until 15 February 2022 and the FCA expects to confirm any final rules by the end of July 2022. Read more
We are pleased to announce the launch of our Global FSR Outlook 2022. In this annual publication, our FSR team surveys the regulatory landscape for 2022 and identifies themes that we expect to be at the core of regulatory priorities globally over the next 12 months.
With a month to go until the Investment Firms Prudential Regime (IFPR) starts to apply on 1 January 2022, the FCA has published its final policy statement (PS21/17). PS21/17 contains final rules and feedback to the FCA's third consultation on IFPR, CP21/26. The FCA has made some relatively minor adjustments and clarifications and affected firms should consider how to factor in these changes within their IFPR implementation. Read more
