Our October 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
- The FCA’s growth objective – challenges, trade-offs
- Ten years of FCA innovation: impact and opportunity
- Regulatory Initiatives Grid
- FCA publishes results of non-financial misconduct survey
- Double jeopardy: FCA fine for failure to report HMRC fine
- The KIDs are not all right: Reforms to EU-inherited retail-disclosure requirements
- Market Watch 80
- FCA begins criminal proceedings against two individuals for insider dealing
- Refusal of authorisation application on threshold condition grounds
- FCA wins appeal in BlueCrest case
- What’s up with ECCTA? – One year on
- Overseas Funds Regime: new draft rules extend the Temporary Marketing Permissions Regime and address inconsistencies
- Mutual recognition in financial services – HM Treasury publishes joint statement following first UK-Switzerland Financial Dialogue
- EU
- ESMA sets out ongoing initiatives in its 2025 work programme, newsletter and speeches:
- ESMA’s 2025 Work Programme
- ESMA’s latest newsletter
- European Parliament’s Economic and Monetary Affairs Committee: an opening statement from ESMA’s Chair
- ESMA consults on amendments to the MiFID research regime
- Securities and Markets Stakeholder group advises on the MiFID/MiFIR third consultation package
- ESMA publishes new Q&A on the Alternative Investment Fund Managers Directive (“AIFMD”), the Undertakings for Collective Investment in Transferable Securities (“UCITS”) and the Markets in Cryptoassets Regulation (“MiCA”)
- Sustainable finance: implementation timeline
- ESMA sets out ongoing initiatives in its 2025 work programme, newsletter and speeches:
- US
- SEC Division of Examinations announces 2025 priorities
- NFA makes change to its BASIC database
- Investment adviser fined $500,000 over whistleblower violations
- Seven investment advisers among the 23 entities fined for late reporting in another SEC sweep
- SEC fines investment adviser $1.5 million for Material Nonpublic Information (“MNPI”) failures
- Key upcoming dates and deadlines
Click below to view and download our October 2024 Newsletter:
October 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 recent blog post about Matt Raver, our dedicated colleague who leads the team that curates these informative updates for you each month.
Our October 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
- SEC Division of Examinations announces 2025 priorities
- NFA makes change to its BASIC database
- Investment adviser fined $500,000 over whistleblower violations
- Seven investment advisers among the 23 entities fined for late reporting in another SEC sweep
- SEC fines investment adviser $1.5 million for Material Nonpublic Information (“MNPI”) failures
- UK
- The FCA’s growth objective – challenges, trade-offs
- Ten years of FCA innovation: impact and opportunity
- Regulatory Initiatives Grid
- FCA publishes results of non-financial misconduct survey
- Double jeopardy: FCA fine for failure to report HMRC fine
- The KIDs are not all right: Reforms to EU-inherited retail-disclosure requirements
- Market Watch 80
- FCA begins criminal proceedings against two individuals for insider dealing
- Refusal of authorisation application on threshold condition grounds
- FCA wins appeal in BlueCrest case
- What’s up with ECCTA? – One year on
- Overseas Funds Regime: new draft rules extend the Temporary Marketing Permissions Regime and address inconsistencies
- Mutual recognition in financial services – HM Treasury publishes joint statement following first UK-Switzerland Financial Dialogue
- EU
- ESMA sets out ongoing initiatives in its 2025 work programme, newsletter and speeches:
- ESMA’s 2025 Work Programme
- ESMA’s latest newsletter
- European Parliament’s Economic and Monetary Affairs Committee: an opening statement from ESMA’s Chair
- ESMA consults on amendments to the MiFID research regime
- Securities and Markets Stakeholder group advises on the MiFID/MiFIR third consultation package
- ESMA publishes new Q&A on the Alternative Investment Fund Managers Directive (“AIFMD”), the Undertakings for Collective Investment in Transferable Securities (“UCITS”) and the Markets in Cryptoassets Regulation (“MiCA”)
- Sustainable finance: implementation timeline
- ESMA sets out ongoing initiatives in its 2025 work programme, newsletter and speeches:
- Key upcoming dates and deadlines
Click below to view and download our October 2024 Newsletter:
October 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 recent blog post about Matt Raver, our dedicated colleague who leads the team that curates these informative updates for you each month.
