PS22/9: A new Consumer Duty
www.fca.org.uk/publications/policy-statements/ps22-9-new-consumer-duty
Mar 3, 2024
1
Financial regulator finds wholesale data market can be improved
www.fca.org.uk/news/press-releases/financial-regulator-finds-wholesale-data-market-can-be-improved
Mar 1, 2024
2
Microsoft Word - 10-851 Feedback statement non-equity markets transparency.doc - 10_851.pdf
www.esma.europa.eu/sites/default/files/library/2015/11/10_851.pdf
Feb 17, 2024
34
FCA: Non-Equity Transparency Proposals
www.ashurst.com/en/insights/fca-non-equity-transparency-proposals/
Jan 28, 2024
2
ESMA70-872942901-38 Q&As on markets structures issues - esma70-872942901-38_qas_markets_structures_issues.pdf
www.esma.europa.eu/sites/default/files/library/esma70-872942901-38_qas_markets_structures_issues.pdf
Jan 14, 2024
9
PERG 13.1 Introduction - FCA Handbook
www.handbook.fca.org.uk/handbook/PERG/13/?view=chapter&timeline=true
Jan 14, 2024
31
ESMA70-156-6383 Final Report on ESMA's Opinion on the trading venue perimeter.pdf
www.esma.europa.eu/sites/default/files/library/ESMA70-156-6383%20Final%20Report%20on%20ESMA%27s%20Opinion%20on%20the%20trading%20venue%20perimeter.pdf
Jan 14, 2024
121
PS23:11/Guidance on the trading venue perimeter - ps23-11.pdf
www.fca.org.uk/publication/policy/ps23-11.pdf
Jan 14, 2024
121
ESG Disclosures for Asset Managers Under the EU Sustainable Finance Disclosure Regulation and Taxonomy Regulation
www.sidley.com/en/insights/newsupdates/2020/06/esg-disclosures-for-asset-managers
Dec 29, 2023
70
New UK FCA Rules on Climate-Related Disclosures — Ten Key Points for Asset Managers
www.sidley.com/en/insights/newsupdates/2022/01/new-uk-fca-rules-on-climaterelated-disclosures-ten-key-points-for-asset-managers
Dec 29, 2023
32
Financial Conduct Authority Consultation on UK Sustainability Disclosure Requirements -- Five Key Takeaways for Asset Managers
www.sidley.com/en/insights/newsupdates/2022/11/financial-conduct-authority-consultation-on-uk-sustainability-disclosure-requirements-nov-14
Dec 29, 2023
32
Final Rules on UK Sustainability Disclosure Requirements and Investment Labels - Key Takeaways for Asset Managers
www.sidley.com/en/insights/newsupdates/2023/12/final-rules-on-uk-sustainability-disclosure-requirements-and-investment-labels
Dec 29, 2023
33
European Commission Q&A on SFDR - Five Key Takeaways for Investment Managers
www.sidley.com/en/insights/newsupdates/2022/06/eu-commission-q-and-as-on-sustainable-finance-disclosure-regulation-5-key-takeaways
Dec 29, 2023
24
EU Sustainable Finance Disclosure Regulation: European Commission Q&As and Implications for Non-EU Fund Managers
www.sidley.com/en/insights/newsupdates/2021/08/ec-qas-application-eu-sustainable-finance-disclosure-regulation-implications-noneu-fund-managers
Dec 29, 2023
32
EU ESG Disclosures Required from March 10, 2021 — Action Points for Non-EU Fund Managers
www.sidley.com/en/insights/newsupdates/2021/01/eu-esg-disclosures-required-from-march-10-2021-action-points-for-noneu-fund-managers
Dec 29, 2023
15
EU Adopts First Set of European Sustainability Reporting Standards — Critical Considerations for Companies in Scope of CSRD
www.sidley.com/en/insights/newsupdates/2023/08/eu-adopts-first-set-of-european-sustainability-reporting-standards
Dec 29, 2023
27
EU Corporate Sustainability Reporting Directive — What Do UK- and U.S.- Headquartered Companies Need to Know?
www.sidley.com/en/insights/newsupdates/2022/08/eu-corporate-sustainability-reporting-directive-what-do-uk-us-headquartered-companies-need-to-know
Dec 29, 2023
45
New EU ESG Legislation Will Affect Non-EU Companies With Significant EU Revenues
www.sidley.com/en/insights/newsupdates/2023/12/new-eu-esg-legislation-will-affect-non-eu-companies-with-significant-eu-revenues
Dec 29, 2023
22
Microsoft Word - UK INVESTMENT RESEARCH REVIEW - RACHEL KENT 10.7.23.docx - UK_INVESTMENT_RESEARCH_REVIEW_-_RACHEL_KENT_10.7.23.pdf
assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/1168719/UK_INVESTMENT_RESEARCH_REVIEW_-_RACHEL_KENT_10.7.23.pdf
Dec 29, 2023
56
PS23/4: Improving Equity Secondary Markets - ps23-4.pdf
www.fca.org.uk/publication/policy/ps23-4.pdf
Dec 27, 2023
42
CP23/27: Reforming the commodity derivatives regulatory framework - cp23-27.pdf
www.fca.org.uk/publication/consultation/cp23-27.pdf
Dec 27, 2023
227
DP07/5: Review of the interaction of our solo and group capital requirements - our findings - dp07_05.pdf
webarchive.nationalarchives.gov.uk/ukgwa/20091003025809mp_/http://www.fsa.gov.uk/pubs/discussion/dp07_05.pdf
Dec 23, 2023
57
Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds
www.fca.org.uk/publications/multi-firm-reviews/testing-how-authorised-fund-managers-are-embedding-guiding-principles-esg-and-sustainable-investment
Dec 2, 2023
46
esma70-156-4572_mifid_ii_final_report_on_algorithmic_trading.pdf
www.esma.europa.eu/sites/default/files/library/esma70-156-4572_mifid_ii_final_report_on_algorithmic_trading.pdf
Nov 18, 2023
23
CP22/20: Sustainability Disclosure Requirements (SDR) and investment labels - cp22-20.pdf
www.fca.org.uk/publication/consultation/cp22-20.pdf
Nov 10, 2023
14
MIFIDPRU 8 - FCA Handbook
www.handbook.fca.org.uk/handbook/MIFIDPRU/8/?view=chapter
Oct 22, 2023
49
Updating and improving the UK regime for asset management: our priorities
www.fca.org.uk/news/speeches/updating-and-improving-uk-regime-asset-management-our-priorities
Oct 22, 2023
13
CP23/20: Diversity and inclusion in the financial sector – working together to drive change - cp23-20.pdf
www.fca.org.uk/publication/consultation/cp23-20.pdf
Sep 25, 2023
1067
Lessons-from-SVB.pdf
www.oaktreecapital.com/docs/default-source/memos/lessons-from-svb.pdf?sfvrsn=af305866_22
Sep 17, 2023
10
Banks’ internal capital markets: how do banks allocate capital internally? - banks-internal-capital-markets-how-do-banks-allocate-capital-internally.pdf
www.bankofengland.co.uk/-/media/boe/files/quarterly-bulletin/2018/banks-internal-capital-markets-how-do-banks-allocate-capital-internally.pdf
Sep 17, 2023
6
EBA-Op-2015-20 Report on investment firms.pdf
www.eba.europa.eu/sites/default/documents/files/documents/10180/983359/0bd8f11e-4a5e-4e33-ad13-d9dbe23ea1af/EBA-Op-2015-20%20Report%20on%20investment%20firms.pdf
Sep 17, 2023
24
IFPR implementation observations: quantifying threshold requirements and managing financial resources
www.fca.org.uk/publications/multi-firm-reviews/ifpr-implementation-observations
Sep 17, 2023
1
Bank of England Quarterly Bulletin 2013 Q3 - bank-capital-and-liquidity.pdf
www.bankofengland.co.uk/-/media/boe/files/quarterly-bulletin/2013/bank-capital-and-liquidity.pdf
Sep 17, 2023
643
Discussion Paper on a new prudential regime for Investment Firms (EBA-DP-2016-02).pdf
www.eba.europa.eu/sites/default/documents/files/documents/10180/1647446/cf75b87e-2db3-47a3-b1f3-8a30fa6962da/Discussion%20Paper%20on%20a%20new%20prudential%20regime%20for%20Investment%20Firms%20%28EBA-DP-2016-02%29.pdf?retry=1
Sep 15, 2023
2
FR10/23 Thematic Analysis: Emerging Risks in Private Finance - IOSCOPD745.pdf
www.iosco.org/library/pubdocs/pdf/IOSCOPD745.pdf
Sep 15, 2023
207
PS23:/13: Introducing a gateway for firms who - ps23-13.pdf
www.fca.org.uk/publication/policy/ps23-13.pdf
Sep 12, 2023
1