Our May 2024 Monthly Newsletter is out, covering notable regulatory news and activities that took place last month in the UK, the EU and the U.S.
This month we cover the following:
- UK:
- The FCA’s ambitious agenda for UK asset management: a speech from the FCA Chair
- Changes to the UK EMIR Reporting Obligation
- Naming and shaming? The FCA’s new approach to publicising enforcement investigations: Committee launches inquiry and call for evidence
- Consumer Duty: “Dear CEO” letter on the implementation of the regime for closed products and services
- Market Watch 79
- Stuart Bayes sentenced for insider dealing
- Trading systems and controls failures: Citigroup fined £61.6 million
- Securitisation update
- UK announces steps to provide more consumer choice through the Overseas Funds Regime
- Cost-disclosure requirements for listed investment companies: House of Lords Financial Services Regulation Committee publishes letter
- “Finfluencers” charged with promoting unauthorised trading scheme on Instagram
- AML/CTF guidance on wholesale markets – JMLSG launches consultation on revisions
- FCA Authorisations operating service metrics 2023/24
- EU:
- ESMA Guidelines establish harmonised criteria for the use of ESG and sustainability terms in fund names
- ESMA’s latest newsletter
- U.S.:
- SEC and FinCEN propose Customer Identification Program requirements
- SEC adopts amendments to Regulation S-P
- NFA modifies Member Questionnaire requirements
- SEC charges registered investment adviser and founder with failure to disclose conflicts of interest
- Key upcoming dates and deadlines
Click below to view and download our May 2024 Newsletter:
May 2024 Monthly Regulatory Newsletter
Click for further articles on the latest regulatory developments.
Our May 2024 Monthly Newsletter is out, covering notable regulatory news and activities that took place last month in the UK, the EU and the U.S.
This month we cover the following:
- U.S.:
- SEC and FinCEN propose Customer Identification Program requirements
- SEC adopts amendments to Regulation S-P
- NFA modifies Member Questionnaire requirements
- SEC charges registered investment adviser and founder with failure to disclose conflicts of interest
- UK:
- The FCA’s ambitious agenda for UK asset management: a speech from the FCA Chair
- Changes to the UK EMIR Reporting Obligation
- Naming and shaming? The FCA’s new approach to publicising enforcement investigations: Committee launches inquiry and call for evidence
- Consumer Duty: “Dear CEO” letter on the implementation of the regime for closed products and services
- Market Watch 79
- Stuart Bayes sentenced for insider dealing
- Trading systems and controls failures: Citigroup fined £61.6 million
- Securitisation update
- UK announces steps to provide more consumer choice through the Overseas Funds Regime
- Cost-disclosure requirements for listed investment companies: House of Lords Financial
- Services Regulation Committee publishes letter
- “Finfluencers” charged with promoting unauthorised trading scheme on Instagram
- AML/CTF guidance on wholesale markets – JMLSG launches consultation on revisions
- FCA Authorisations operating service metrics 2023/24
- EU:
- ESMA Guidelines establish harmonised criteria for the use of ESG and sustainability terms in fund names
- ESMA’s latest newsletter
- Key upcoming dates and deadlines
Click below to view and download our May 2024 Newsletter:
May 2024 Monthly Regulatory Newsletter
Click for further articles on the latest regulatory developments.
