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Searching Content by Kam Dhillon from Gowling WLG ordered by Published Date Descending.
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1
Payment Service Providers: Are You Safeguarding Customer Funds In Compliance With The Rules?
On 4th July 2019, the FCA released the findings from its recent review of non-bank payment service providers (PSPs).
UK
19 Jul 2019
2
EU AIFMD - New Rules For Pre-Marketing Funds And Reverse Solicitation
The Cross-border Distribution Directive amends the Alternative Investment Fund Managers Directive (AIFMD) and introduces new rules for the pre-marketing of alternative investment funds (AIFs) in the European Union (EU).
European Union
4 Jul 2019
3
FCA Releases New Rules For Crowdfunding Platforms
The Financial Conduct Authority (FCA) published its in Policy Statement (PS19/14) on 4 June 2019, outlining new rules for loan based ('peer-to-peer') platforms.
UK
25 Jun 2019
4
FCA Consults On Cryptoassets Regulation
The Financial Conduct Authority (FCA) has published its Consultation Paper (CP19/3: Guidance on Cryptoassets) which sets out guidance on how cryptoassets can be subject to FCA regulation.
Canada
1 Feb 2019
5
The FCA Consults On Optimising The Senior Managers And Certification Regime
The Financial Conduct Authority (FCA) has published its Consultation Paper (CP19/4: Optimising the Senior Managers and Certification Regime (SMCR) and Feedback to DP16/4 - Overall Responsibility and the Legal Function) to provide extra clarity on the SMCR and help firms adjust to the SMCR.
UK
31 Jan 2019
6
FCA's Approach To Supervision
The Financial Conduct Authority (FCA) has a very broad range of regulatory responsibilities. It regulates around 58,000 firms ...
UK
25 Sep 2018
7
Senior Managers & Certification Regime: The FCA Publishes Near-Final Rules For FCA Solo-Regulated Firms
The SMCR will replace the current Approved Persons Regime on 9 December 2019.
UK
13 Jul 2018
8
EU PRIIPs Regulation And Kids: Q&As
The PRIIPs Regulation (EU/2014/1286), together with the regulatory technical standards in Commission Delegated Regulation (EU/2017/653) will apply from 1 January 2018.
UK
12 Oct 2017
9
FCA Issues Guidance On The Suspension Of Fund Redemptions
The guidance essentially aims to remind fund managers of their obligations to investors. The guidance also clarifies the FCA's expectations of fund managers when suspending dealings in their funds in challenging market conditions.
UK
20 Jul 2016
10
Overview Of EU Market Abuse Regulation
Here, Gowling WLG's regulatory experts give an overview of the UK implementation of the new EU Market Abuse Regulation, its scope and key provisions, and the potential fines individuals and companies can expect if there is a breach.
European Union
4 May 2016
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