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Dec 13, 2024 | 
globalcompliancenews.com | Caitlin McErlane |Kimberly Everitt
On 26 July 2024, in response to the UK Government’s Investment Research Review (IRR) on the effectiveness of the investment research market, the FCA published its final rules and guidance to permit the bundling of payments for investment research and trade execution by investment firms. The final rules, which took effect on 1 August 2024, adapt the FCA’s policy to evolving markets and better align with the regulatory position in the EU and US.
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Nov 1, 2024 | 
globalcompliancenews.com | Mark Simpson |Kimberly Everitt
The new EU Capital Requirements Directive (CRD6) establishes a new harmonised and more restrictive framework for cross-border banking and lending into the EU. The new third country branch (TCB) rules will prohibit the provision of certain banking services into the EU on a cross-border basis by firms outside the EU, unless done in accordance with limited exemptions.
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Nov 1, 2024 | 
globalcompliancenews.com | Mark Simpson |Kimberly Everitt
Author Dr. Conrad Ruppel LL.M. Browsing Dr. Conrad Ruppel is a financial regulatory partner in Baker McKenzie's Banking & Finance Practice Group in Germany, Frankfurt.
Conrad advises financial services clients, investment banks, fund managers and institutional investors on a wide range of financial regulatory issues throughout the business lifecycle. A particular focus of his work is on FinTech and digital assets projects.
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Oct 22, 2024 | 
bakermckenzie.com | Mark Simpson |Kimberly Everitt
The new EU Capital Requirements Directive (CRD6) establishes a new harmonised and more restrictive framework for cross-border banking and lending into the EU. The new third country branch (TCB) rules will prohibit the provision of certain banking services into the EU on a cross-border basis by firms outside the EU, unless done in accordance with limited exemptions.
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Jul 17, 2024 | 
bakermckenzie.com | Caitlin McErlane |Kimberly Everitt
The term 'transition finance' has now firmly established itself in the lexicon of financial market participants, however, there does continue to be some differing perspectives around the scope of the term's definition.
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Mar 13, 2024 | 
globalcompliancenews.com | Philip Annett |Caitlin McErlane |Mark Simpson |Kimberly Everitt
We are pleased to share with you our annual briefing looking at financial services regulation and enforcement in 2024, “What does 2024 hold? Key upcoming developments and enforcement trends”. With Brexit and the pandemic firmly in the rear-view mirror, and the geopolitical ebb-and-flow settling into a somewhat more stable – if preciously perched – pattern, regulators around the world have turned their attention to less reactive, more forward-looking actions.
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Mar 13, 2024 | 
globalcompliancenews.com | Philip Annett |Caitlin McErlane |Mark Simpson |Kimberly Everitt
We are pleased to share with you our annual briefing looking at financial services regulation and enforcement in 2024, “What does 2024 hold? Key upcoming developments and enforcement trends”. With Brexit and the pandemic firmly in the rear-view mirror, and the geopolitical ebb-and-flow settling into a somewhat more stable – if preciously perched – pattern, regulators around the world have turned their attention to less reactive, more forward-looking actions.
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Feb 27, 2024 | 
lexology.com | Mark Simpson |Philip Annett |Caitlin McErlane |Sarah Williams |Shaneil Shah |Melody Hoay | +4 more
In briefOn 13 February 2024, the FCA issued a Final Notice to Floris Jakobus Huisamen, the former director and compliance officer of London Capital & Finance plc (LCF), fining him GBP 31,800 and banning him from working in financial services in relation to misconduct connected to financial promotions issued by LCF. This Final Notice follows the FCA's previous censure of LCF in October 2023 for connected behaviour.
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Feb 23, 2024 | 
bakermckenzie.com | Philip Annett |Caitlin McErlane |Mark Simpson |Kimberly Everitt
We are pleased to share with you our annual briefing looking at financial services regulation and enforcement in 2024, "What does 2024 hold? Key upcoming developments and enforcement trends". With Brexit and the pandemic firmly in the rear-view mirror, and the geopolitical ebb-and-flow settling into a somewhat more stable – if preciously perched – pattern, regulators around the world have turned their attention to less reactive, more forward-looking actions.
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Feb 23, 2024 | 
lexology.com | Philip Annett |Caitlin McErlane |Mark Simpson |Kimberly Everitt |Shaneil Shah |Sarah Williams | +4 more
We are pleased to share with you our annual briefing looking at financial services regulation and enforcement in 2024, "What does 2024 hold? Key upcoming developments and enforcement trends". With Brexit and the pandemic firmly in the rear-view mirror, and the geopolitical ebb-and-flow settling into a somewhat more stable – if preciously perched – pattern, regulators around the world have turned their attention to less reactive, more forward-looking actions.
