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Hogan Lovells Consumer Duty Virtual Roundtable – key points from breakout sessions
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The Hogan Lovells Consumer Duty Virtual Roundtable webinar on 28 April 2022 was attended by a range of firms across varied market sectors. While some sectors clearly had greater concerns...

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Have you responded to the FCA's IFPR Questionnaire?

The FCA has been sending out requests to Investment Firms asking them to provide responses to the FCA's Investment Firms Prudential Regime (IFPR) Questionnaire, ahead of IFPR...

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SMCR for Financial Market Infrastructures: HM Treasury Consultation

HM Treasury has launched a consultation on creating a Senior Managers and Certification Regime (SMCR) for financial market infrastructures (FMIs) supervised by the Bank of England (BoE)....

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HMT confirms no more open access for exchange-traded derivatives

On 5 May 2020, the HM Treasury confirmed that it plans to remove the open access regime for exchange-traded derivatives (ETDs), which is currently within the UK version of the Markets in...

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UK FCA consults on changes to MiFID II research and best execution reporting requirements

The Financial Conduct Authority (FCA) has published a consultation paper, CP21/9, on some initial changes to its conduct and organisational requirements implementing the EU Markets in...

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SMCR Directory of certified and assessed persons – have you submitted your data?

The Financial Conduct Authority (FCA) is contacting thousands of firms across various sectors that appear to have missed the 31 March 2021 deadline for submitting “Directory...

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SMCR: UK FCA extends implementation periods for solo-regulated firms

The UK Financial Conduct Authority (FCA) has extended the deadline for solo-regulated firms to undertake their first assessment of the fitness and propriety of their certified persons under ...

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FCA consults on senior managers regime extension to benchmark administrators

The UK Financial Conduct Authority is proposing to extend its senior managers regime to benchmark administrators that do not undertake any other regulated activity

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SMCR extension: deadline for submitting Forms K and O is 24 November 2019

The extension of the Financial Conduct Authority's (FCA) senior managers and certification regime (SMCR) to FCA solo-regulated firms comes into force on 9 December 2019. Firms newly...

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