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  • Legal Shorts 23.03.18 including FATF report to G20 ministers and central bank governors 

    Legal Shorts 23.03.18 including FATF report to G20 ministers and central bank governors 

    Published: 23 Mar 2018

    Welcome to Legal Shorts, a short briefing on some of the week’s developments in the financial services industry. If you would like to discuss any of the points we raise below, please contact me or one of our other lawyers.   Claire Cummings 020 7585 1406 claire.cummings@cummingslaw.com www.cummingslaw.com ________________________________________ ESMA speech on Brexit, trans...

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  • Legal Shorts 09.03.18 including FCA update on LEIs under MiFID II and FCA speech on MiFID II implementation

    Legal Shorts 09.03.18 including FCA update on LEIs under MiFID II and FCA speech on MiFID II implementation

    Published: 09 Mar 2018

    FCA update on LEIs under MiFID II The FCA recently updated its webpage for firms subject to transaction reporting obligations under MiFID II and MiFIR.  The FCA refers to a statement issued by ESMA in December 2017 and explains that the approach described in this requires the FCA to amend the LEI validation rule in the its market data processor (MDP). The FCA had confirmed that no change wo...

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  • Legal Shorts 02.03.18 including GDPR and data protection reform

    Legal Shorts 02.03.18 including GDPR and data protection reform

    Published: 02 Mar 2018

    ICO Podcast Our podcast on ICOs will be available online on our website at: www.cummingslaw.com. This podcast is the first in a two-part series discussing ICOs.  If you would like further information about ICOs and the work that Cummings Law are doing in this area, please e-mail Claire Cummings at claire.cummings@cummingslaw.com. ________________________________________ GDPR and data pr...

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  • CRYPTOCURRENCIES AND ICOS: AN INTRODUCTORY Q&A

    CRYPTOCURRENCIES AND ICOS: AN INTRODUCTORY Q&A

    Published: 31 Jan 2018

    What is an ICO? When a company wants to raise money it may issue shares or debt, both being bought by investors with the relevant currency, for example GBP, Euro or USD.  Issues of shares and debt in the UK are regulated by the Financial Conduct Authority (the “FCA”). Similarly, a fund manager may issue shares to raise money to invest in a fund which trades a particular investment strateg...

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  • Legal Shorts 12.01.18 including New FCA transaction reporting instrument reference data errors and omissions form

    Legal Shorts 12.01.18 including New FCA transaction reporting instrument reference data errors and omissions form

    Published: 12 Jan 2018

    Welcome to Legal Shorts, a short briefing on some of the week’s developments in the financial services industry. If you would like to discuss any of the points we raise below, please contact me or one of our other lawyers.  Claire Cummings 020 7585 1406 claire.cummings@cummingslaw.com www.cummingslaw.com New FCA transaction reporting instrument reference data errors and omissions fo...

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  • Legal Shorts 05.01.18 including MiFID II: FCA publishes general guidance on authorisation

    Legal Shorts 05.01.18 including MiFID II: FCA publishes general guidance on authorisation

    Published: 05 Jan 2018

    Welcome to Legal Shorts, a short briefing on some of the week’s developments in the financial services industry. If you would like to discuss any of the points we raise below, please contact me or one of our other lawyers.  Claire Cummings 020 7585 1406 claire.cummings@cummingslaw.com  www.cummingslaw.com MiFID II: FCA publishes general guidance on authorisation The FCA has p...

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  • Legal Shorts 15.12.17 including MiFID II: FCA publishes letter on payment for order flow

    Legal Shorts 15.12.17 including MiFID II: FCA publishes letter on payment for order flow

    Published: 15 Dec 2017

    Welcome to Legal Shorts, a short briefing on some of the week’s developments in the financial services industry. If you would like to discuss any of the points we raise below, please contact me or one of our other lawyers.  Claire Cummings 020 7585 1406 claire.cummings@cummingslaw.com www.cummingslaw.com ________________________________________ MiFID II: FCA publishes letter on paym...

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  • Legal Shorts 08.12.17 including HM Treasury report on UK’s renewed investment management strategy

    Legal Shorts 08.12.17 including HM Treasury report on UK’s renewed investment management strategy

    Published: 08 Dec 2017

    Welcome to Legal Shorts, a short briefing on some of the week’s developments in the financial services industry. If you would like to discuss any of the points we raise below, please contact me or one of our other lawyers.  Claire Cummings 020 7585 1406 claire.cummings@cummingslaw.com www.cummingslaw.com ________________________________________ HM Treasury report on UK’s renewed in...

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