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FCA Takes Next Step Towards a UK Consumer Duty: An Update for Regulated Businesses

By Matt Hancock & Katharine Bond on December 31, 2021

Posted in FCA, Featured, Financial Regulation, GT Alert, Regulatory Compliance, UK

In December 2021, the UK Financial Conduct Authority (FCA) published a consultation to set a higher standard of consumer protection in retail financial markets, an endeavor which began in July…
Continue Reading FCA Takes Next Step Towards a UK Consumer Duty: An Update for Regulated Businesses

Principals in the Spotlight as UK’s FCA Consults on Changes to Appointed Representatives Regime

By Matt Hancock & Katharine Bond on December 13, 2021

Posted in Appointed Representatives Regime, FCA, Featured, Financial Regulation, GT Alert, Regulatory Compliance, UK, white collar

The Appointed Representatives Regime (ARR), a well-known and important feature of the UK regulatory landscape, enables certain businesses – Appointed Representatives (ARs) – to conduct regulated activities without having to…
Continue Reading Principals in the Spotlight as UK’s FCA Consults on Changes to Appointed Representatives Regime

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Greenberg Traurig’s Financial Regulatory and Compliance Group brings together attorneys from various offices and practice areas to assist financial services firms of all types and sizes, as well as vendors to those firms, as they face regulatory, legislative, supervision, examination, licensing, compliance, and governance matters

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