United Kingdom: Compliance

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Article
HM Treasury Designates Four Critical Third Parties To The UK Financial System
HM Treasury has designated four major global cloud and technology providers as critical third parties under the UK's new operational resilience regime, granting financial regulators direct oversight powers over systemic services that could threaten financial stability. The designations mark the first implementation of rules established under the Financial Services and Markets Act 2023, mirroring the EU's DORA framework while maintaining a targeted, risk-based approach to protecting the UK financial system f
United Kingdom Finance
KM
Katten Muchin Rosenman LLP
Article
European Commission Fines AliExpress A Record €550 Million For Breaching Digital Services Act
The European Commission has imposed a historic €550 million fine on AliExpress for violations of the Digital Services Act, marking a significant enforcement action in the regulation of digital platforms. This unprecedented penalty raises critical questions about compliance obligations for major e-commerce platforms operating in the European Union and the Commission's approach to enforcing digital marketplace standards.
European Union Media & IT
LS
Lewis Silkin
Article
FCA Enforcement Watch 2: The Consumer Duty Moves Into A New Phase Of Scrutiny
The FCA's second Enforcement Watch reveals a shift from initial forbearance to active scrutiny of Consumer Duty compliance, with 11 open investigations now underway. As the regulatory framework matures, firms face increasingly intensive supervisory intervention through VREQs and OIREQs, with fair value assessments emerging as a particular enforcement focus alongside product governance and vulnerable customer treatment.
United Kingdom Finance
KL
Herbert Smith Freehills Kramer LLP
Article
Latest CRTea Podcast Now Available - Recent Developments In UK Consumer Protection Law: The CMA's First Investigations Under The New Regime
The UK's Competition and Markets Authority (CMA) has launched its first investigations under the enhanced consumer protection regime introduced by the Digital Markets, Competition and Consumers Act. These investigations target online pricing practices, pressure selling tactics, and fake or misleading consumer reviews, with three completed cases resulting in infringement decisions, penalties, and consumer redress measures. The CMA has also issued advisory letters to over a hundred businesses regarding compli
United Kingdom Consumer
KL
Herbert Smith Freehills Kramer LLP
Article
A New Private Fund Managers Regime In The UK: Good News For Non-UK Managers?
The UK's Financial Conduct Authority has proposed significant reforms to the regime governing alternative investment fund managers, with particular implications for non-UK managers marketing private funds to UK investors. These changes introduce a more streamlined reporting framework called FRAME, reduce precontractual disclosure requirements, and establish size-based thresholds that will determine regulatory obligations for managers operating across borders.
United Kingdom Finance
GP
Goodwin Procter LLP
Article
EU Social Security Shake-up: What Changes For Employers?
The European Parliament has approved sweeping changes to EU social security coordination rules that will require A1 certificates for nearly all cross-border working arrangements lasting more than three consecutive days within a 30-day period. This fundamental shift eliminates the practical interpretations many employers currently rely on, creating new compliance challenges for organizations with employees working across EU borders.
United Kingdom Employment
LS
Lewis Silkin
Article
Mansion House 2026 Speech: Financial System Rewiring Remains A Work In Progress
The UK government's Mansion House 2026 speech and accompanying publications reveal continued progress on financial services reform, with significant developments in digital markets, AI adoption, and regulatory modernization. Key initiatives include the first designations under the critical third parties regime, advancement of tokenisation projects including the Digital Gilt Instrument, and comprehensive plans for AI integration across financial services. While the strategic direction remains clear, much of
United Kingdom Finance
KL
Herbert Smith Freehills Kramer LLP
Article
The Likely Implications For UK Competition Policy Of Andy Burnham’s Premiership
Andy Burnham's ascension to Prime Minister marks a potential shift in UK competition policy, raising questions about how his economic philosophy and skepticism of privatisation will influence the Competition and Markets Authority's approach. Will his leadership reverse recent pro-business reforms, or will the focus on growth and investment continue to shape merger control and antitrust enforcement?
United Kingdom Commercial
M
Macfarlanes LLP
Article
When A Director Becomes The Competition
When a director secretly diverts business to their own competing venture while still in office, using company resources and confidential information, what remedies are available and how far will the courts go to hold them accountable? This High Court decision examines the boundaries of fiduciary duty, unlawful competition, and whether corporate structures or strategic insolvency can shield directors from liability.
United Kingdom Commercial
BL
Barnes Law
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