regulation
SEC Adopts New Clearing Rules In $26bn US Treasury Market Overhaul
Markets - Published date: .
The Securities and Exchange Commission has adopted rule changes to reduce system-wide risks in the $26bn US Treasury m... Read more
Treasury's Bim Afolami: Cultural And Regulatory Change Needed To Make Markets 'match Fit'
Markets - Published date: .
Cultural, as well as regulatory change, is needed to bolster public markets and help grow the British economy, the eco... Read more
FCA-convened Industry Group Unveils Code Of Conduct For ESG Ratings And Data Providers
Markets - Published date: .
The International Regulatory Strategy Group (IRSG) and International Capital Markets Association (ICMA) have unveiled ... Read more
UK To Boost Bank Resolution Toolkit After SVB Collapse Shortcomings - Reports
Markets - Published date: .
The Treasury is set to open a consultation aiming to strengthen the UK’s bank resolution toolkit, after shortcomings... Read more
FCA Plans 'new Form Of Simplified Advice' In Extensive Review
Markets - Published date: .
The Financial Conduct Authority and HM Treasury have set out three proposals as part of their joint advice and guidanc... Read more
National Audit Office Finds 'significant Delay' In FCA Regulatory Action
Markets - Published date: .
The National Audit Office (NAO) has found “significant delays” between the identification of issues in financial s... Read more
FCA: Investment Firms Fall Short Of Consumer Duty Vulnerability And Data Sharing Requirements
Markets - Published date: .
The Financial Conduct Authority said it is “disappointed” by the way some consumer investment firms have been appl... Read more
FCA Sets Out Proposals To Increase Liquidity Requirements For Money Market Funds
Markets - Published date: .
The Financial Conduct Authority has set out plans to significantly increase the liquidity requirements of money market... Read more
Central Bank Of Ireland Imposes Its First Ever Fine On An Investment Fund
Markets - Published date: .
The Central Bank of Ireland has imposed its first ever monetary penalty on an investment fund with a fine of €192,50... Read more
FCA Sets Out Temporary Measures To Address Investment Trust Cost Disclosure Concerns
Markets - Published date: .
The Financial Conduct Authority will allow investment trusts and any funds invested in these vehicles to provide a bre... Read more
Harcus Parker Accuses FCA Of 'inaccurate Summary' Regarding Potential Third Party Woodford Claims
Markets - Published date: .
Harcus Parker, a law firm representing around 7,500 investors in the former Woodford Equity Income fund, has accused t... Read more
Divergence In Consumer Duty Application Could Push Asset Managers Out Of UK Retail Market
Markets - Published date: .
The Financial Conduct Authority’s Consumer Duty could risk forcing asset management firms to pull UK retail products... Read more
London Metal Exchange Wins Legal Case Against Nickel Trading Suspension
Markets - Published date: .
A court has ruled in favour of the London Metal Exchange after a legal case was brought against it for suspending the ... Read more
Allfunds Receives UK Regulatory Authorisation
Markets - Published date: .
Allfunds has been authorised to operate as a Third Country Branch in the UK, bringing the platform under the dual regu... Read more
Government Directs Competition And Markets Authority To Increase Focus On Economic Growth
Markets - Published date: .
The UK Competition and Markets Authority has been ordered by the government prioritise “investment, innovation and g... Read more
Powers Proposed For FCA To Implement UK Retail Disclosure Framework
Markets - Published date: .
The government has published a draft statement to provide the Financial Conduct Authority new powers to construct and ... Read more
Draft Regulations Offer FCA Powers To Restrict Short Selling In 'exceptional Circumstances'
Markets - Published date: .
HM Treasury’s short selling regulations policy note has revealed the Financial Conduct Authority is set to receive p... Read more
Financial Services Industry Bodies Call For Greater Clarity On FCA D&I Proposals
Markets - Published date: .
Financial services industry bodies have welcomed the diversity and inclusion proposals introduced by the UK’s financ... Read more
FCA: Firms Have 'further To Go' To Meet Upcoming ESG Labelling Regulation
Markets - Published date: .
The Financial Conduct Authority has determined there is still a notable amount of progress to be made by fund managers... Read more
Morgan Stanley's Wealth Management Arm Under Scrutiny By Federal Reserve - Reports
Markets - Published date: .
The US Federal Reserve is looking into Morgan Stanley’s wealth management arm, with a focus on identifying whether t... Read more
