Securities & derivatives

 

Latest Reports

  • blue maze ball

    Background Following a recent RegZone article on this topic which focused on HMT’s confirmation that it will legislate to permit financial regulators to directly oversee and supervise (previously unregulated) “critical” third parties (“CTPs”) that provide services to the finance sector, the Bank of England, PRA and FCA (together, “the regulators”) ...

  • yellow paper flower on yellow background

    Environmental, social and governance (ESG) considerations are top of the agenda for many companies today. While ESG seeps into all aspects of business, executive remuneration is one of the areas that is beginning to address ESG concerns. Recent research found that three in five FTSE 100 executive bonus plans now ...

  • green leaf and background

    The UK was described as “the best place in the world for green finance” by Rishi Sunak, the former UK Chancellor of the Exchequer, in his Mansion House speech last year. In helping to secure the UK as a world leading net zero financial centre, the Financial Services and Markets ...

  • blue pink cubes

    The Financial Conduct Authority (“FCA”) has published new rules to improve oversight over appointed representatives (“ARs”), which will take effect on 8 December 2022. These new rules are intended to address shortcomings and potential sources of harm identified by FCA in the operation of the current regime, and will mean ...

  • abstract blue pink ombre

    FCA has published its final rules and guidance for a new Consumer Duty that will set higher and clearer standards of consumer protection across financial services and require firms to put their customers’ needs first. Acting to deliver good outcomes should be at the centre of firms’ strategies and business ...

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