Financial Regulation
Our market-leading global financial regulation group advises on all aspects of regulatory compliance, risk management, enforcement and regulatory transactions
UK regulators have prescribed how financial institutions and market infrastructure must build their resilience to business disruption.
Culture, governance and accountability are key priorities for regulators in their supervisory engagement with firms and in considering enforcement action. Getting this right is more important than ever.
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The European Parliament has approved a package of legislation which will overhaul the prudential regulation of the majority of EU investment firms, and significantly change the remuneration rules for some firms.
Brexit is unique in its scope and complexity. It affects businesses across all sectors, yet no two businesses face precisely the same challenges; everything depends on the nature and footprint of their operations as well as those of their suppliers and customers.
The updated EU Shareholder Rights Directive applies in the UK from 10 June 2019. Companies, asset managers and institutional investors need to be prepared to comply with the changes it introduces.
The SMCR is part of the UK regulators’ drive to improve culture, governance and accountability within financial services firms. It aims to deter misconduct by improving individual accountability and awareness of conduct issues across firms.
Our MiFID II page provides consolidated and up to date MiFID II rules and guidance and links to our latest post-implementation insights.
This report, which has been prepared in partnership with UK Finance, is designed to help firms more easily engage with the many and varied sources of ethical requirements and evaluate whether they are living up to these expectations and the values they have set for themselves.
