by Emma Cleveland | 2015-02-02 | Industry News
The Financial Stability Board (“FSB”) has recently published the following documents that were delivered to G20 leaders attending the Brisbane Summit (the G20 Leaders’ Summit is the principal forum for international economic cooperation and decision-making. As...
by Emma Cleveland | 2015-01-28 | Industry News
The Financial Stability Board (“FSB”) has recently published its Standards and Processes for Global Securities Financing Data Collection and Aggregation report. The proposed standards are based on the policy recommendations in the FSB report Policy Framework for...
by Emma Cleveland | 2014-12-10 | Industry News
The FCA have issued a report on their findings of a review of conflicts of interest arising from wealth management and private banking firms’ use of in-house investment products (“IHPs”) in retail discretionary and advisory investment portfolios. The regulator’s...
by Emma Cleveland | 2014-12-02 | Industry News
On 27 November 2014 the FCA issued their regulatory fees and levies policy proposals for 2015/16 (CP14/26 Regulatory fees and levies: policy proposals for 2015/16). In the paper they have set out the proposed policy changes to the regulator’s fee and levy regimes. The...
by Emma Cleveland | 2014-11-05 | Industry News
The FCA has recently completed its thematic review on best execution and payment for order flow (“PFOF”). The TR14/13 report expresses the regulator’s growing concern with PFOF arrangements and their popularity amongst firms. Firms owe a regulatory duty to their...
by Emma Cleveland | 2014-11-04 | Industry News
On 10 October the International Organization of Securities Commissions (IOSCO) published a consultation report on principles regarding the Custody of Collective Investment Schemes’ Assets. The aim of the report is to gather views of investment managers,...
