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!
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.
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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