Securities & derivatives

 

Latest Reports

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    Until recently, directors of regulated firms were permitted to serve as directors on a self-employed basis and, at the same time, to perform their operational functions as employees. Those days are now over. This change has involved a number of stages. The first milestone in this reform was the adoption ...

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    On 22 June 2021, HM Treasury (“HMT”) published its response (the “Consultation Response”) to its earlier consultation (the “Consultation”) in July 2020, announcing changes to legislation and the regulatory framework for approving financial promotions for unauthorised persons. 1. Background Currently, authorised firms may approve the financial promotions that are made ...

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    ZH

    The Standing Committee of the National People’s Congress of the People’s Republic of China (the “NPC”) published a draft Futures Law in May. The main purpose of the Futures Law is to codify the law in relation to futures (being standardized exchange-traded derivatives). The Futures Law also regulates other markets, ...

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    This page contains news of upcoming webinars and recordings of recent CMS webinars, available to view on demand. Webinars are a convenient way to stay informed and hear from our legal experts. Webinars available on demand: 05.05.2021 Brexit webinar on UK authorisation for EU financial institutions - the end of ...

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    On 14 April 2021, the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) sent a “Dear CEO Letter” to the chief executive officers of banks and building societies regarding the use of deposit aggregators and how to mitigate some of the key risks (link). However, the regulators were also ...

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