ESMA’s report highlights a range of investor protection and market integrity concerns, drawing attention to the gap between regulation in Europe and the US.
Jake Green, Ashurst Perkins Coie
A discussion on whether placing a bet on inside information constitutes “cheating” and the related issue of market manipulation.
New regime changes how firms report serious incidents and critical third-party dependencies, gives regulators improved real-time visibility of threats.
Regulator seeks clarity on the correct approach to the application of the Consumer Duty on wholesale firms.
Ashurst set out the key takeaways from the paper, which is clearly important – but not for the reasons the FCA has given.
The Dutch Authority for the Financial Markets has made an extraordinary decision, says Ashurst.
Checklists for firms to reflect on whether their annual Board report and RCA processes are aligned with the FCA’s ideas of best practice.
The FCA is making changes to notification and disclosure requirements for OTC derivatives.