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Industry News

Accelerating climate action in APAC for sustainable development

by Leela|1 August 2023|Industry News

The 79th session of the Economic and Social Commission for Asia and the Pacific (the “ESCAP”) was held from 15 to 19 May 2023. This session witnessed the adoption of 10 United Nations (“UN”) resolutions by countries within Asia-Pacific (the “APAC”), with the aim of reaffirming their unwavering commitment to safeguarding the planet and its […]

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FCA’s Consumer Duty – Is your firm ready?

by Leela|21 June 2023|Industry News

The Financial Conduct Authority’s (“FCA“) Consumer Duty will come into force on 31 July 2023. From this date, the Consumer Duty rules will apply to all existing in-scope products or services that are available for sale or renewal. By this date, firms must have all the necessary processes and agreements in place to fulfil their […]

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Markets in Crypto-assets Regulation (MiCA): Summary

by Victoria Smith|10 May 2023|Industry News

The Markets in Crypto-assets Regulation (MiCA) framework was first introduced in 2020 as a proposal to regulate crypto-asset markets in the European Union It is due to come into effect by mid-2024 and so crypto-assets issuers and crypto-assets service providers will need to start preparing for the regulatory requirements. We’ve set out […]

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Key Contract Cases

by Leela|25 April 2023|Industry News

We are delighted to be launching a new series that will focus on Key Contract Cases in 2023. Through this, we will be providing brief snapshots of the significant contract law cases that have emerged this year and key takeaways that businesses can learn from them on how to navigate the legal complexities that arise […]

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Sustainable Finance Disclosure Regulation: What’s next?

by Victoria Smith|30 March 2023|Industry News

Under the Sustainable Finance Disclosure Regulation, financial market participants and financial advisers are required to disclose information on the integration of sustainability risks into investment decision-making, and the impact of sustainability factors on their returns. The aim of the regulation is to increase transparency in the market of sustainable products and prevent greenwashing. Find out […]

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MIFID II: ESMA supervisory briefing for firms that use tied agents

by Victoria Smith|29 March 2022|Industry News

background The European Securities and Markets Authority (‘ESMA’) is a European supervisory authority that contributes to the safeguarding of a stable and orderly European Union (‘EU‘) financial market by enhancing investor protection. Following Brexit, ESMA has been monitoring the behaviour of EU firms with the aim of understanding if their interaction with clients based in […]

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New Rules – SDR has landed!

by Victoria Smith|24 March 2022|Industry News

SUMMARY The Central Securities Depositories Regulation (“CSDR”) was introduced in 2014 along with MiFID II and EMIR to increase the safety and efficiency of securities settlement and settlement infrastructures within the EU. As of 1 February 2022, CSDR has introduced a new Settlement Discipline Regime (“SDR”) which is a set of common requirements for central […]

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CCIVs- ready at last?

by Victoria Smith|21 March 2022|Industry News

the introduction of CCIVs On 10 February 2022, the Corporate Collective Investment Vehicle Framework and Other Measures Bill 2021 (“CCIV”) passed both houses of parliament to amend the Corporations Act 2001. This new framework will commence from 1 July 2022. what is a cciv The long awaited CCIV offers a corporate funds structure which has […]

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Latest update: Electronic signatures

by Victoria Smith|16 March 2022|Industry News

BRIEF BACKGROUND In its report on Electronic Execution of Documents (Law Com No 386) published in 2019 (the “Report”), the Law Commission set out its high level conclusions regarding the validity of electronic signatures (“E-signatures”). They confirmed that: E-signatures are capable of being used to execute a document (including deeds) provided that the signatory intends […]

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SM&CR regulatory references: FCA clarification

by Vicki McEwan|10 March 2022|Industry News

FCA RULES AND HANDBOOK Part 9A of the Financial Services and Markets Act 2000 (“FSMA”) provides the Financial Conduct Authority (“FCA”) wide-ranging powers. Under Section 137A the FCA can make legally binding rules for authorised and in some cases, unauthorised firms and individuals. FSMA contains important checks and balances on these powers, including procedures that […]

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