Our Thinking · Regulatory & Compliance
In his speech at the FCA MiFID II Conference on 18 September 2014, David Lawton addressed a number of key areas where the new directive will seek to achieve a balance between regulation and effectiveness. The FCA Director of Markets explained that although agreement has already been reached regarding MiFID II, the obligations do not […]
Our Thinking · Regulatory & Compliance
As part of its “Innovate” project, the FCA are calling for input from firms in order to help clarify regulatory uncertainty in the financial services sector. In a recent statement the regulator asks firms to submit examples of situations where they believe they have been subject to retrospective application of regulatory rules. The call for […]
Our Thinking · Public Funds · Regulatory & Compliance
The date has come! The UCITS V Directive was published in the EU Official Journal yesterday, 28 August 2014. Member states have until 18 March 2016 to transpose UCITS V into national law. Please see our previous posting for further information. Click here for the full published text. Should you require any advice or information on […]
Our Thinking · Investments & Capital Markets · Regulatory & Compliance
There has been a flurry of papers produced over the last 6 months in relation to the use of dealing commissions, and the industry seems headed for a new world of unbundling. What are firms going to do?
Our Thinking · Regulatory & Compliance
The FCA has recently completed the second stage of its thematic review on how firms and advisors are implementing RDR requirements. TR 14/5 focuses with greater clarification on what actions firms should take to meet the new independence requirements. TR 14/6 focuses on whether firms are complying with the disclosure requirements.
Our Thinking · Public Funds · Regulatory & Compliance
Much has been discussed over recent years in relation to the importance of stewardship by investors, and this is not to be diminished. But should you be contractually agreeing to comply with it in your client agreements?
Our Thinking · Regulatory & Compliance
Below we have provided a glance card, outlining the key upcoming changes to CASS in respect of custody services.
Our Thinking · Public Funds · Investments & Capital Markets
Do you often get resistance from US investment managers when asking them to comply with UK regulations when they are being appointed to manage a UK UCITS scheme? Here is a short Q&A which will help you understand why.
Our Thinking · Public Funds · Investments & Capital Markets
Are you an investment manager? Do you often get asked by Trustees of pension funds to contractually agree to comply pension related legislation and regulation in your IMAs? Here is a short Q&A which will help you decide how to respond to these requests.
Our Thinking · Public Funds · Private Funds
Do you work for an investment manager that doesn’t seem to have any criteria around when to offer a client a segregated account? Here is a short Q&A that will help you develop your internal approach!
When regulation shifts, our General Counsel set out what has changed for your firm and the steps we recommend you take.
We use cookies to analyse site traffic and improve your experience. You can accept or reject analytics cookies. See our Cookie Policy.