Conduct in UK Law

  • Financial Conduct Authority: primary markets review
    • JD Supra United Kingdom
    The Financial Conduct Authority (FCA) has published two papers as part of its review of the structure of the UK's primary markets to ensure that they continue to serve the needs of issuers and inve...
  • SMCR Conduct Rules go live!
    • LexBlog United Kingdom
    Reed Smith will be hosting a breakfast seminar on the SMCR 28 March 2017. Visit reedsmith.com for more information. On 7 March 2017, the Conduct Rules in FCA Handbook and PRA Rulebook were extended...
  • UK Conduct Regulator Publishes Annual Report
    • JD Supra United Kingdom
    The U.K. Financial Conduct Authority has published its Annual Report and Accounts for the year ended March 31, 2019. The report considers topics including: (i) key highlights from 2018/2019; (ii) t...
  • Changing Codes of Conduct
    • JD Supra United Kingdom
    In the first few days of October, the Market Research Society (MRS) and the National Association for College Admission Counseling (NACAC) both decided to change their codes of ethics, but for two v...
  • Financial Conduct Authority Enforcement Performance
    • LexBlog United Kingdom
    NERA Economic Consulting has recently published an analysis of the penalties imposed by the UK financial regulator since April 2012[1].  The startling headline is that the level of fines in the 18 ...
  • Anticipating 'Good Conduct Regulation' In The UK
    • JD Supra United Kingdom
    On Feb. 13, 2017, John Griffith-Jones, chairman of the U.K. Financial Conduct Authority, delivered a speech to the Cambridge Judge Business School at the University of Cambridge entitled "What...
  • UK Conduct Regulator Sets Out Conduct Expectations of Firms For Libor Transition
    • JD Supra United Kingdom
    The U.K. Financial Conduct Authority has published a statement on conduct risk during the LIBOR transition, which is due to be completed by the end of 2021...
  • Defining, Enforcing and Preventing Conduct Risk
    • JD Supra United Kingdom
    An international focus on defining, preventing, and understanding the concept of “conduct risk” has become problematic for financial services organisations in the UK and beyond—in part because the ...
  • Financial Conduct Authority Publishes Progress Report on Conduct Questions for Wholesale Banks
    • JD Supra United Kingdom
    The Financial Conduct Authority has published its latest report on industry progress made against the "Five Conduct Questions" it poses to wholesale banks in a bid to improve their conduc...
  • Financial Sector – Conduct and Regulatory References
    • LexBlog United Kingdom
    On 7 March 2017, one year after the implementation of the Senior Managers and Certification Regime (SM&CR) which was introduced to improve accountability in the financial services sector, two f...
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