Keywords: Financial Conduct Authority (FCA)
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Journal Articles
Journal of Investment Compliance (2019) 20 (3): 23–24.
Published: 21 August 2019
... Ashurst LLP Licensed re-use rights only Bitcoin Crypto Cryptoassets Tokenization Initial coin offering ICO Financial Conduct Authority (FCA) The Financial Conduct Authority (FCA) has published two pieces of research examining UK consumer attitudes to crypto assets and how consumers...
Journal Articles
Journal of Investment Compliance (2019) 20 (2): 28–33.
Published: 09 May 2019
... This article contains valuable information about current policy direction and regulatory thinking in the UK in relation to crypto-assets, and analysis from leading FinTech lawyers. Sam Maxson can be contacted at: sam.maxson@lw.com Financial Conduct Authority (FCA) Cryptocurrency FinTech Crypto...
Journal Articles
Journal of Investment Compliance (2018) 19 (2): 24–30.
Published: 02 July 2018
... 2018 Paul, Weiss, Rifkind, Wharton & Garrison LLP. 2018 2018 Paul, Weiss, Rifkind, Wharton & Garrison LLP. Licensed re-use rights only United Kingdom Financial Conduct Authority (FCA) Conduct of Business Sourcebook (COBS) IPO research The UK Financial Conduct Authority...
Journal Articles
Journal of Investment Compliance (2017) 18 (4): 67–71.
Published: 06 November 2017
...Panos Katsambas; Chu Ting Ng Purpose To explore the issues and questions put forward for consideration by stakeholders by the UK Financial Conduct Authority (FCA) in its discussion paper dated February 2017 – the purpose of which was to gather stakeholders’ views on illiquid assets and open-ended...
Journal Articles
Journal of Investment Compliance (2017) 18 (3): 79–81.
Published: 04 September 2017
... of negotiating 10 per cent off the financial penalty if settlement is reached within Stage 3, which ends on the date that a Decision Notice is published. United Kingdom Financial regulation Financial Conduct Authority (FCA) Commercial disputes Corporate crime and investigations Enforcement process...
Journal Articles
Journal of Investment Compliance (2017) 18 (1): 78–83.
Published: 02 May 2017
... swaps” and “collateral swaps”. Disclosure obligation EU Regulation on Transparency of Securities Financing Transactions and of Reuse (SFTR) Financial Conduct Authority (FCA) Reuse obligation In September 2016 ESMA published its Consultation Paper on draft regulatory technical standards...
Journal Articles
Journal of Investment Compliance (2017) 18 (1): 84–91.
Published: 02 May 2017
...Melanie Brody; Ori Lev; Jeffrey P. Taft; Guy Wilkes; Matthew Bisanz; Tori Shinohara; Joy Tsai Purpose To summarize developments by the US Consumer Financial Protection Bureau (“CFPB”), the US Office of the Comptroller of the Currency (“OCC”), and the UK Financial Conduct Authority (“FCA...

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