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Recent Articles

  •  
    03/04/2025

    Financial Services Webinars On Demand

    View recordings of CMS financial services webinars available on demand.Webinars are a convenient way to stay informed and hear from our legal experts.Webinars On Demand
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  •  
    17/03/2025

    Regulator retreat - FCA abandons ‘name and shame’ proposal

    Last week the Financial Conduct Authority (“FCA”) announced its decision to drop the controversial proposal to publicise live enforcement investigations citing the “lack of consensus”.BackgroundIn February 2024, the FCA proposed a significant shift in its approach to publicising enforcement cases in Consultation Paper 24/2 (“CP24/2”) Part 1.  In a bid to increase transparency about its enforcement work and to protect consumers, the FCA introduced a plan to publicly disclose the names of firms under enforcement investigation at an earlier stage, with only...
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  •  
    07/03/2025

    Financial Services Webinars On Demand

    View recordings of CMS financial services webinars available on demand.Webinars are a convenient way to stay informed and hear from our legal experts.Webinars On Demand
    Read more
  •  
    04/02/2025

    FCA issues first fine for breach of UK MiFIR transaction reporting regime: key takeaways for firms

    On 29 January 2025, the UK Financial Conduct Authority (“FCA”) issued a Final Notice to Infinox Capital Limited (“Infinox”), fining the firm £99,200 for failing to submit 46,053 transaction reports. While the FCA has previously issued fines for transaction reporting failures under the pre-MiFID II regime, this is the first FCA fine for a breach of the Markets in Financial Instruments Regulation (“MiFIR”) transaction reporting regime since it entered into force on 3 January 2018. As such, while the fine has caught the industry’s attention, it also...
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  •  
    03/02/2025

    Financial Services Webinars On Demand

    View recordings of CMS financial services webinars available on demand.Webinars are a convenient way to stay informed and hear from our legal experts.Webinars On Demand
    Read more
  •  
    02/12/2024

    Financial Services Webinars On Demand

    View recordings of CMS financial services webinars available on demand.Webinars are a convenient way to stay informed and hear from our legal experts.Webinars On Demand
    Read more