by Emma Cleveland | 2016-01-06 | Our Thinking
In December 2015, the FCA published their Thematic Review on the Suitability of investment portfolios at Wealth Management Firms and Private Banks (the “Report”). In the Report the FCA has presented its findings from the assessment of over 150 files collected from 15...
by Emma Cleveland | 2015-12-17 | Industry News
On 30 November 2015, the FCA held another MiFID II Implementation roundtable meeting where the standards along with various matters concerning the regulators approach towards the implementation of the upcoming directive were discussed. Below we have provided summaries...
by Emma Cleveland | 2015-12-16 | Industry News
In anticipation of MiFID II and the numerous changes the directive is expected to bring to the EU financial markets, one of the hot topics has been ESMA’s proposal for reform of the current regime for use of dealing commissions. ESMA had proposed that asset managers...
by Emma Cleveland | 2015-12-09 | Our Thinking
The FCA has continuously pursued the initiative of increasing transparency in the financial services industry and ensuring the best possible investor outcomes. As part of this initiative, the regulator is seeking to improve complaints handling procedures, by...
by Emma Cleveland | 2015-12-09 | Industry News
On 2 December 2015, the European Securities in Markets Authority published an update of their Q&A on the Alternative Investment Fund Managers Directive (“AIFMD”). Due to AIFMD’s comprehensive regulatory framework and extensive requirements the cross border...
