Our Thinking · Public Funds · Regulatory & Compliance
On 20 May 2014 the National Association of Pension Funds (NAPF) published a new guide to help pension funds fully understand transition management (TM) and what to consider when choosing a transition manager.
Our Thinking · Regulatory & Compliance
On 19 May 2014 the Association of British Insurers (ABI) published a revised Guide to Good Practice for Unit-Linked Funds.
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 14/6 focuses on whether firms are complying with the disclosure requirements.
Our Thinking · Public Funds · Regulatory & Compliance
On 15 April 2014 the European Parliament announced that it had approved the UCITS V Directive. See also the European Commission’s press release.
Our Thinking · Regulatory & Compliance · Europe
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 on the standard for independent advice, to respond to the industry’s desire for greater clarification on what actions firms should take to meet the new independence requirements.
Our Thinking · Regulatory & Compliance · Europe
The FCA recently undertook a thematic review of the transition management (“TM”) industry which sought to better understand the TM market, explore potential weaknesses in managing conflicts of interest and examine senior managers’ understandings of client requirements and the strength of controls.
When regulation shifts, our General Counsel set out what has changed for your firm and the steps we recommend you take.
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