The Dutch Authority for the Financial Markets (Autoriteit Financiële Markten, the AFM) and the Dutch Central Bank (De Nederlandsche Bank, DNB) have updated their Simplified Fine Procedure (Procedure vereenvoudigde afdoening boetezaken). This procedure allows for simplified settlement of a fine imposed by AFM or DNB. It was originally
In January 2026, the Dubai Financial Services Authority (DFSA) published the results of a cross-sector thematic review into how Authorised Firms in the Dubai International Financial Centre (DIFC) identify, manage and monitor conflicts of interest. The review identified significant variability in standards and calling for targeted improvements across governance, identification, management, monitoring, record-keeping, inducements, and
On 10 March 2026, the European Commission issued a report to the Council and the European Parliament on the preparedness in the EU financial sector.
The report provides an overview of the current state of preparedness of the EU financial sector, building on continued discussions with the European Central Bank, the European Supervisory Authorities, the
In the latest episode of Global Regulation Tomorrow Plus, Matthew Gregory and Simon Lovegrove discuss HM Treasury’s recent consultation on reforms to the Appointed Representatives regime. In particular, the discussion touches on five key areas – scope, the gateway, grandfathering, Senior Managers Regime, and the Financial Ombudsman Service.
On 10 March 2026, the Financial Conduct Authority (FCA) published its Regulatory Priorities report for the pensions sector.
Overview
The FCA is introducing 9 annual Regulatory Priorities reports to replace its portfolio letters. So far, the FCA has published Regulatory Priorities reports for insurance, consumer investments, and pensions.
Each report outlines the FCA’s
On 4 March 2026, there was published a draft of the Capital Requirements Regulation (Market Risk Transitional Provision) Regulations 2026.
Background
As the timing of the implementation of Basel 3.1 is not yet confirmed in some other major jurisdictions, the Prudential Regulation Authority (PRA) consider that implementing the final UK market risk
On 4 March 2026, there was published a draft of the Credit Institutions and Investment Firms (Miscellaneous Definitions) (Amendment) Regulations 2026.
Background
The Financial Services and Markets Act 2023 (FSMA 2023) repeals assimilated EU law relating to financial services, subject to commencement, to be replaced with rules set by regulators. In particular
On 4 March 2026, the Financial Conduct Authority (FCA) published its Regulatory Priorities report for the consumer investments sector.
Overview
The FCA is introducing 9 annual Regulatory Priorities reports to replace its portfolio letters.
So far, the FCA has published Regulatory Priorities reports for insurance and consumer investments.
Each report outlines the FCA’s
On February 17, 2026, the CFTC filed an amicus brief in the US Court of Appeals for the Ninth Circuit case North American Derivatives Exchange, Inc. v. State of Nevada, marking the agency’s first formal judicial intervention in the rapidly expanding litigation over the legal status of event contracts and prediction markets.
See