Our Q3, 2021 Quarterly Newsletter is part of a series that provides a regular update of key regulatory issues affecting the UK/EU and the USA, to help you connect the dots.
In the UK/Europe, amongst other ongoing developments, regulatory news and enforcements, we take an in-depth look at the new prudential regime for investment firms – the ‘IFPR’ – which takes effect on 1 January 2022, aimed at reducing the impact of ‘harms’ to a firm’s clients and the wider financial services industry.
In the U.S. we continue to see enforcement actions brought by the SEC addressing a broad range of issues ranging from disclosure and accounting violations to insider trading to market manipulation.
