by Emma Cleveland|26 June 2014|Our Thinking
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.
Read moreby Emma Cleveland|10 June 2014|Our Thinking
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.
Read moreby Emma Cleveland|29 May 2014|Our Thinking
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!
Read moreby Emma Cleveland|29 May 2014|Industry News
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.
Read moreby Emma Cleveland|28 May 2014|Industry News
On 19 May 2014 the Association of British Insurers (ABI) published a revised Guide to Good Practice for Unit-Linked Funds.
Read moreby Emma Cleveland|6 May 2014|Industry News
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.
Read moreby Emma Cleveland|1 May 2014|Industry News
On 15 April 2014 the European Parliament announced that it had approved the UCITS V Directive. See also the European Commission’s press release.
Read moreby gcleve|21 April 2014|Industry News
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.
Read moreby gcleve|7 April 2012|Industry News
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.
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