Our November 2024 Monthly Newsletter is out, covering notable regulatory news and activities that took place last month in the UK, the EU and the US.
This month we cover the following:
- UK
- Politics, regulators, accountability: recent trends in the relationship between the FCA and the political establishment
- FCA approach to publicising enforcement investigations – evidence from the City of London Law Society Regulatory Law Committee , among others
- Improving the UK transaction reporting regime: DP 24/2; Market Watch 81
- Supporting growth: The FCA’s research and market data access initiatives
- Next steps for reforming the UK Markets in Financial Instruments Directive
- Draft Short Selling Regulations 2024 published
- FCA finds crypto ownership continues to rise as it delivers plans to regulate crypto
- FCA secures convictions against two individuals for £1.5m fraud
- Offence of “failure to prevent fraud” introduced by the Economic Crime and Corporate Transparency Act
- FCA’s new guidance: strengthening standards for acquisitions and control
- FCA publishes pre-contractual disclosure examples for Sustainability Disclosure Requirements and investment labels regime; “Naming and marketing” sustainability rules came into force 2 December 2024
- FCA bans director following grievous bodily harm conviction
- Warning Notice Statement 24/4: Crispin Odey
- Financial Reporting Council launches public consultation on the Stewardship Code
- FCA Authorisations operating service metrics 2024/25 Q2
- EU
- ESMA’s latest newsletter
- ESMA Chair sets out supervisory priorities for asset managers
- ESMA is collecting data on costs linked to investments in AIFs and UCITS
- US
- Regulatory crackdown: The growing focus on off-channel communications and compliance risks
- US regulators announce enforcement results for fiscal year 2024
- Federal court overturns the SEC’s Dealer Rule
- SEC fines J.P. Morgan affiliates over $150 million for multiple regulatory breaches
- NFA fines AC Investment Management $100,000 for compliance violation
- Key upcoming dates and deadlines
Click below to view and download our November 2024 Newsletter:
November 2024 Monthly Regulatory Newsletter
Click for further articles on the latest regulatory developments.
If you’d like to learn more about the person behind our newsletters, click here to read our blog post about Matt Raver, our dedicated colleague who leads the team that curates these informative updates for you each month.
Our November 2024 Monthly Newsletter is out, covering notable regulatory news and activities that took place last month in the US, the UK and the EU.
This month we cover the following:
- US
- Regulatory crackdown: The growing focus on off-channel communications and compliance risks
- US regulators announce enforcement results for fiscal year 2024
- Federal court overturns the SEC’s Dealer Rule
- SEC fines J.P. Morgan affiliates over $150 million for multiple regulatory breaches
- NFA fines AC Investment Management $100,000 for compliance violations
- UK
- Politics, regulators, accountability: recent trends in the relationship between the FCA and the political establishment
- FCA approach to publicising enforcement investigations – evidence from the City of London Law Society Regulatory Law Committee , among others
- Improving the UK transaction reporting regime: DP 24/2; Market Watch 81
- Supporting growth: The FCA’s research and market data access initiatives
- Next steps for reforming the UK Markets in Financial Instruments Directive
- Draft Short Selling Regulations 2024 published
- FCA finds crypto ownership continues to rise as it delivers plans to regulate crypto
- FCA secures convictions against two individuals for £1.5m fraud
- Offence of “failure to prevent fraud” introduced by the Economic Crime and Corporate Transparency Act
- FCA’s new guidance: strengthening standards for acquisitions and control
- FCA publishes pre-contractual disclosure examples for Sustainability Disclosure Requirements and investment labels regime; “Naming and marketing” sustainability rules came into force 2 December 2024
- FCA bans director following grievous bodily harm conviction
- Warning Notice Statement 24/4: Crispin Odey
- Financial Reporting Council launches public consultation on the Stewardship Code
- FCA Authorisations operating service metrics 2024/25 Q2
- EU
- ESMA’s latest newsletter
- ESMA Chair sets out supervisory priorities for asset managers
- ESMA is collecting data on costs linked to investments in AIFs and UCITS
- Key upcoming dates and deadlines
Click below to view and download our November 2024 Newsletter:
November 2024 Monthly Regulatory Newsletter
Click for further articles on the latest regulatory developments.
If you’d like to learn more about the person behind our newsletters, click here to read our blog post about Matt Raver, our dedicated colleague who leads the team that curates these informative updates for you each month.
