888holdings’ Post

Interesting to see that the FCA has announced the trial dates for the Financial Promotions "finfluencers" case, which are not until Q1 2027, more than 2 years away. So it will be some time before we learn the outcomes from this. Firms who are active on social media should take note of the issues this case has raised. UKGI can provide training and support to help firms understand the potential pitfalls when posting on these channels. Get in touch to find out how we can support you!

!!! Listing Act !!! >>> What´s the timeline? <<< The #ListingAct aims to simplify the listing rules for companies that want to list on public #stock exchanges, while also preserving #transparency, #investorprotection and #marketintegrity. It seeks to counter the fragmentation of national laws that restrict the flexibility of companies to issue multiple-vote shares when going public, which is particularly important for innovative scale-ups. Proposed by the European Commission in 2022, the Listing Act is a package of measures meant to review the Prospectus Regulation, Market Abuse Regulation (#MAR), Markets in Financial Instruments Regulation and Directive (#MiFIR/ #MiFID II), and to introduce a new Directive on multiple-vote share structures. In that context, the following regulations and directives were published in the Official Journal on 14 November 2024 (i) Regulation (EU) 2024/2809 (ii) Directive (EU) 2024/2810 (iii) Directive (EU) 2024/2811 To facilitate the effective implementation of the Listing Act, ESMA will be publishing a series of consultation papers and final reports, with respect to each legislative area, to identify the necessary changes to meet its goals. The consultation papers will be in response to technical advice requested from the European Commission as well as direct empowerments to issue or update regulatory and implementing technical standards and guidelines. For more information please see below. Bets regards, Hartmut

Check out our latest monthly Dual Registrant #RegulatoryRoundup, authored by attorneys Issa Hanna and Andrew Mount, where we review noteworthy regulatory developments from the past month, specifically tailored for retail #BrokerDealers and #InvestmentAdvisers 📰 Read now: https://lnkd.in/euD-tvvn 📧 To explore the latest developments and ensure you receive this newsletter directly in your inbox, please subscribe: https://lnkd.in/enmKwUpg

Sharing the most recent installment of our monthly Dual Registrant #RegulatoryRoundup, authored by attorneys Issa Hanna and Andrew Mount, where we review noteworthy regulatory developments from the past month, specifically tailored for retail #BrokerDealers and #InvestmentAdvisers. To explore the latest developments and ensure you receive this newsletter directly in your inbox, please subscribe. https://lnkd.in/daqsDwTt

Check out this month's Dual Registrant Regulatory Roundup, where we talk about the SEC's exam priorities, the NYSE's adoption of FINRA's remote office rules, and the metaverse. #brokerdealers #investmentadvisers

Market Rule changes to tick size, access fees and order pricing. SEC’s amendments to Regulation NMS aim to cut transaction costs & boost market competition and transparency for investors. What’s changed? Click to read more. #KPMGRegulatoryAlert #MarketCompetition #Regulatory https://bit.ly/3XCOyx2

Check out our latest monthly Dual Registrant #RegulatoryRoundup, authored by attorneys Issa Hanna and Andrew Mount, where we review noteworthy regulatory developments from the past month, specifically tailored for retail #BrokerDealers and #InvestmentAdvisers 📰 Read now: https://lnkd.in/euD-tvvn 📧 To explore the latest developments and ensure you receive this newsletter directly in your inbox, please subscribe: https://lnkd.in/enmKwUpg

Market Rule changes to tick size, access fees and order pricing. SEC’s amendments to Regulation NMS aim to cut transaction costs & boost market competition and transparency for investors. What’s changed? Click to read more. #KPMGRegulatoryAlert #MarketCompetition #Regulatory https://bit.ly/47TLuS2

Both the Securities Act of 1933 and the Securities Exchange Act of 1934 contain definitions of a “foreign private issuer” (“FPI). Generally, if a company does not meet the definition of an FPI, it is subject to the same registration and reporting requirements as any U.S. company. #SecuritiesLawBlog #FPIs #ALCLAW

Market Rule changes to tick size, access fees and order pricing. SEC’s amendments to Regulation NMS aim to cut transaction costs & boost market competition and transparency for investors. What’s changed? Click to read more. #KPMGRegulatoryAlert #MarketCompetition #Regulatory https://bit.ly/47Hyq2a