Securities & derivatives

 

Latest Reports

  • bitcoin

    On 30 June 2020, the FCA published a research note on cryptoasset consumers which forms part of the FCA’s work alongside the Government and the Bank of England (“BoE”) to understand market size, consumer profiles and attitudes towards cryptoassets[1]. The three institutions had previously, in October 2018, published a joint ...

  • office people meeting

    The deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons has been extended from 9 December 2020 to 31 March 2021. To ensure consistency, the FCA is set to consult on the delay of further SM&CR requirements. Background On 30 ...

  • laptop coffee notepad

    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. Upcoming webinar 01.07.2020 Focusing on Fairness - FCA priorities for the year ahead with Simon Morris, Paul Edmondson, ...

  • Business people in motion

    On 18 June 2020, the FCA released a new consultation paper CP20/8 on High-risk investments: Marketing speculative illiquid securities (including speculative mini-bonds) to retail investors (the “Consultation Paper”). In summary, the Consultation Paper proposes to: Extend the current ban on the marketing of speculative illiquid securities (“SISs”) (including speculative mini-bonds); ...

  • stock market quotes

    The prudential regime for investment firms in the UK and EU is expected to change significantly in just over a year’s time, resulting in changes that firms need to understand and prepare for now. From 26 June 2021, it is expected that the Investment Firms Regulation (the “IFR”) and the ...

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