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Our latest blog posts on regulators and regulatory framework

Stop that payment! FCA guidance on delaying payments suspected to be APP fraud

On 9 September 2024, the FCA launched a Consultation in which it proposes changes to its guidance to payment service providers (PSPs). The changes are intended to reflect the Treasury’s draft…

Author(s): Emma Probyn, Christine Simpson, Christopher Chan, Abisha Bastian

  • fca
  • financial institutions
  • regulatory
  • uk
  • financial services
  • regulatory framework
  • the financial conduct authority

Key insights for businesses from the EU Commission’s FAQ on the EU Data Act

To aid in its implementation, the European Commission has published frequently asked questions on the EU Data Act. Check out our earlier blog post for a quick rundown of the EU Data Act.  Reflecting…

Author(s): Gernot Fritz, Estella Dannhausen

  • consumer
  • data
  • data protection
  • eu data act
  • europe
  • internet of things
  • manufacturing
  • regulatory
  • regulatory framework
  • tech media and telecoms
  • eu digital strategy

Herding cats: English law and Decentralised Autonomous Organisations

Background On 11 July 2024, the Law Commission published a scoping paper (the Scoping Paper) on Decentralised Autonomous Organisations (DAOs) setting out preliminary considerations about how these…

Author(s): Claire Harrop, Christopher Bernard, Joana Fragata

  • fintech
  • blockchain
  • financial institutions
  • uk
  • fca
  • regulatory framework
  • financial services
  • innovation

FCA publishes final rules on bundling payments for investment research and execution

On 26 July 2024, the Financial Conduct Authority (FCA) published its policy statement on payment optionality for investment research (PS24/9) (the Policy Statement). This reintroduces the option to…

Author(s): James Smethurst, Borja Ruiz De Gopegui, Christopher Bernard, Cameron MacDonald

  • regulatory
  • uk
  • fca
  • financial services
  • regulatory framework

DOJ Unveils the Corporate Whistleblower Awards Pilot Program

Earlier this month, the US Department of Justice (DOJ) officially launched its new three-year Corporate Whistleblower Awards Pilot Program (Pilot Program). The focus of the Pilot Program is to…

Author(s): Adam Siegel, Eric Bruce, Timothy Howard, Jennifer Loeb, Daniel Cendan, Kimberly Zelnick, Alessandra Scalise, Aedan Collins, Young Park, Connor Lang

  • whistleblowing
  • white-collar defense
  • regulatory framework
  • investigations
  • financial institutions

The new European AML package - a comprehensive overview

Few areas of regulatory law are evolving as rapidly as European money laundering law. Over the past few years these requirements have become increasingly complex and detailed. In July 2024, the…

Author(s): Jan Struckmann, Alicia Hildner, Janina Heinz

  • financial crime
  • financial services
  • investigations and enforcement
  • regulatory framework

POP’ing it like the FCA

The FCA recently published a consultation paper (CP24/13) setting out its proposed rules for the new public offer platform (POP) regime. As explained in our previous blog, the Public Offers and…

Author(s): Chris Ranson, Richard Ho, Tom Godwin, Claire Harrop, Christopher Bernard, Jennifer McCarthy

  • ecm
  • financial institutions
  • financing and capital markets
  • regulatory
  • uk
  • financial services
  • regulatory framework

Strategic risk spotlight on EU-China investigations: How to reconcile EU investigations with Chinese law in light of recent EU General Court order

In an order dated 12 August 2024, the General Court of the European Union (‘General Court’) dismissed an application for interim measures brought by two EU subsidiaries of a Hong Kong-based security…

Author(s): Moritz Pellmann, Xin Liu, Nicholas Schoch, Pauline Peng, Camillo von Haugwitz

  • investigations
  • corporate governance
  • governance
  • investigations and enforcement
  • regulatory framework

UK regulators keen to understand the future of digital wallets

On 15 July 2024, the Financial Conduct Authority (FCA) and the Payment Services Regulator (PSR) published a call for information (CFI) on BigTech and digital wallets, which runs until 13 September…

Author(s): Claire Harrop, Noah Schmidt, Christopher Bernard, Rhea Dennis

  • financial institutions
  • fintech
  • regulatory
  • fca
  • uk
  • regulatory framework
  • digitalwallet
  • digital payment
  • e-commerce
  • financial services

Law Commission publishes Draft Bill on digital assets as personal property

On 30 July 2024 the Law Commission of England and Wales published a supplemental report and amended draft bill which would introduce a new category of personal property for digital assets. This is…

Author(s): Emma Probyn, Claire Harrop, Christine Simpson, Georgia Onslow

  • cryptocurrency
  • fintech
  • regulatory
  • regulatory framework
  • financial services

One year of the FCA’s UK Consumer Duty - The regulator takes stock

Over the past several years, a major focus for UK authorised firms and the Financial Conduct Authority (FCA) alike has been the implementation of the Consumer Duty (the Duty). To mark one year since…

Author(s): Michael Raffan, Elisabeth Overland, Christopher Bernard, Fran Kaehr

  • consumer protection
  • fca
  • financial institutions
  • regulatory
  • uk
  • financial services
  • regulatory framework

Changes to the UK Stewardship Code seek to ease the burdens on signatories and support the growth of UK capital markets

On 22 July 2024, the Financial Reporting Council (FRC) announced several immediate revisions to the UK Stewardship Code 2020 in order to reduce reporting burdens on existing signatories. It also set…

Author(s): Elisabeth Overland, Christopher Bernard, Yashi Chandra

  • financial institutions
  • regulatory
  • uk
  • financial services
  • sustainability
  • investment funds and managers
  • governance
  • regulatory framework

The EBA publishes the report on the application of gender-neutral remuneration policies by institutions and investment firms

The recent EBA report provides a comprehensive overview of the implementation and effectiveness of gender-neutral remuneration policies in financial institutions and investment firms. While the…

Author(s): Mara Ruberto

  • employment
  • financial services
  • regulatory framework

Data Centre Investments

In recent years, the global investment landscape for data centres has reached record-breaking levels, with the market being largely dominated by US-based players, particularly private equity firms.…

Author(s): Alexander Watt, Pascal Cuche, Nicola Franceschina, José Armando Albarrán, Felix Neuwirther, Frédéric Elens, Niko Schultz-Süchting, Jan Matauschek

  • europe
  • global
  • infrastructure and transport
  • private capital
  • real estate
  • regulatory framework
  • esg and sustainability

New Government, same special resolution enhancements – Bank Resolution (Recapitalisation) Bill introduced in Parliament

We have previously written about HM Treasury’s January 2024 consultation on “Enhancing the UK special resolution regime”, which proposed a new mechanism allowing the Bank of England (the Bank) to…

Author(s): Michael Raffan, Fran Kaehr, Tey Khoo

  • financial institutions
  • regulatory
  • uk
  • regulatory framework
  • financial services

EU Elections Unpacked: Ursula von der Leyen re-elected for second term

Germany's Ursula von der Leyen has been elected President of the European Commission for a second mandate, with 401 votes in favour, 284 against and 15 abstentions, with 7 void votes. She received 40…

Author(s): Kieran Watkins, Natalie Pettinger Kearney, Lea Bareil

  • 2024 elections
  • financial services
  • governance
  • investment trading and markets
  • regulatory framework

Digital or printed? Navigating liability and evidence in product instruction and safety information

I.    Introduction  Manufacturers of consumer-facing products in the increasingly integrated European market operate in a complex regulatory and commercial environment. Under EU law, not only the…

Author(s): Laura Knoke, Kristina Weiler, Rixa Kuhmann, Hendrik Wilkens

  • disputes
  • consumer protection
  • class actions
  • product liability
  • product risk team
  • regulatory
  • regulatory framework
  • retail markets
  • europe
  • retail and consumer goods
  • litigation
  • manufacturing

EU leadership shake-up: implications for business and policy

In the wake of the recent European elections, the EU27 Heads of State and Government have finalised allocating the influential EU top jobs, setting the stage for the next political cycle. The…

Author(s): Natalie Pettinger Kearney, Lea Bareil, Jimena Gonzalez

  • 2024 elections
  • antitrust and competition
  • climate change
  • corporate
  • esg
  • eu digital strategy
  • europe
  • financing and capital markets
  • investment
  • private capital
  • regulatory
  • regulatory framework

ESG around the world: The evolving regulatory landscape for financial services firms

Financial services regulators around the world recognise the threat of sustainability change to financial stability and the role of financial institutions in the transition to a net zero economy.…

Author(s): Douglas Bryden, Janina Heinz, Alison Hashmall, Matthew O'Callaghan, Elisabeth Overland, Emily Smith, Christopher Bernard, Cameron MacDonald

  • asia-pacific
  • climate change
  • esg
  • financial institutions
  • regulatory
  • uk
  • us
  • regulatory framework

The UK’s digital roadmap: CMA consults on draft digital markets guidance

Within minutes of the UK Digital Markets, Competition and Consumers Act 2024 (the DMCC Act) receiving Royal Assent on the evening of 24 May 2024 (see our blog here), the CMA published draft guidance…

Author(s): Rikki Haria, Martin Dickson, Saif Gilani

  • antitrust and competition
  • investigations
  • merger control
  • mergers and acquisitions
  • regulatory
  • tech media and telecoms
  • uk
  • investigations and enforcement
  • regulatory framework

Energy storage - what you need to know

Energy storage is an indispensable part of an energy system where generation and consumption are increasingly variable and security of supply is a growing priority. The following recent developments…

Author(s): Ulrich Scholz, Vanessa Jakovich, Andreas Ruthemeyer, James Chapman, Ana Lopez, Daniel Schnabl, Alvaro Pliego Selie, Hendrik Wessling, Marlin Jürgens, Marie von Armansperg, Alexander Monro, Giorgio Candeloro

  • energy and natural resources
  • europe
  • climate change
  • infrastructure and transport
  • regulatory
  • regulatory framework
  • uk

Across the finish line in the wash-up: the DMCC Act receives Royal Assent – what happens next?

In the final days of Parliament, the landmark UK Digital Markets, Competition and Consumers Act 2024 (the ‘Act’) has received Royal Assent and is now law. Some reforms come into effect immediately…

Author(s): Andrew Austin, Cat Greenwood-Smith, Rikki Haria, Sarah Jensen, Patrick Teague, Kate Collister, Martin Dickson, Aaron Green, Daniel Wylde, Karen Slaney, Francesca Triggs, Philipp Baschenhof

  • antitrust and competition
  • antitrust litigation
  • class actions
  • consumer
  • consumer protection
  • global
  • investigations
  • merger control
  • mergers and acquisitions
  • regulatory
  • tech media and telecoms
  • investigations and enforcement
  • regulatory framework

Third Time’s the Charm? FDIC, OCC, and FHFA Re-Propose Incentive-Based Compensation Rule

On May 6, 2024, the Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), and Federal Housing Finance Agency (FHFA) published a notice of proposed rulemaking…

Author(s): Nicole Foster, Lori Goodman, Alison Hashmall, David Sewell, Jordan Salzman, Nariné Atamian, Daniel Klingenbrunn

  • regulatory framework
  • corporate governance
  • executive compensation
  • financial institutions
  • financial regulatory

Unbundling – what you need to know

Unbundling rules in the EU may substantially shape an M&A deal in the energy sector. At a glance: Unbundling rules in Europe In the electricity and gas sectors, five main activities are subject to…

Author(s): Ulrich Scholz, Pascal Cuche, Tanguy Bardet, Alvaro Pliego Selie, Louise Bragard, Philipp Reinecke, LL.M., Julian Siegmund, Gregor Von Bonin

  • europe
  • energy and natural resources
  • regulatory
  • regulatory framework

Update: The EU keeps the ball rolling in its battle against money laundering – next on the agenda: professional football

Professional football is not just an entertaining happening for millions of fans around the world; it is also a big money game. During the 2021/22 football season, the top 10 clubs based in the EU…

Author(s): Jan Struckmann, Marcel Michaelis, Mathis Schwarze

  • aml
  • corporate
  • financial institutions
  • foreign investment
  • global financial investors
  • investigations
  • private capital
  • regulatory
  • sports
  • financial crime
  • regulatory framework

The Digital Securities Sandbox: a new model for trading and settlement in the UK?

On 3 April 2024, the Financial Conduct Authority (FCA) and the Bank of England (BoE) published a consultation paper setting out their proposals to implement and operate the new Digital Securities…

Author(s): James Smethurst, Christopher Bernard, Olivia Davies

  • blockchain
  • ecm
  • fintech
  • regulatory
  • financing and capital markets
  • europe
  • uk
  • financial institutions
  • financial services
  • regulatory framework

Carbon Capture, Use & Storage: what you need to know

Carbon capture, use and storage (CCUS) is a key technology to help achieve global net zero goals,[1] particularly for hard to abate sectors such as steel and cement. Increased CCUS investment and…

Author(s): Alon Gordon, Vanessa Jakovich, Kate Gough, Philip Morgan, James Chapman, Sascha Arnold

  • climate change
  • europe
  • energy and natural resources
  • global
  • infrastructure and transport
  • regulatory
  • regulatory framework
  • uk
  • governments and public sector
  • corporate

Mandatory Net-Zero Regimes

Mandatory Net-Zero Regimes Global efforts to deal with climate change have accelerated in the 30 years since the 1994 United Nations Framework Convention on Climate Change, with the historic Paris…

Author(s): Vanessa Jakovich, Deborah Janssens, Steffie De Backer, Kieran Watkins

  • climate change
  • energy and natural resources
  • europe
  • global
  • regulatory
  • regulatory framework
  • uk
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