by Emma Cleveland | 2014-05-28 | Industry News
On 19 May 2014 the Association of British Insurers (ABI) published a revised Guide to Good Practice for Unit-Linked Funds. The revised Guide takes on board the findings of the FCA’s thematic review on The governance of unit-linked funds which highlighted the need for...
by Emma Cleveland | 2014-05-06 | 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. The report published in April 2014 states: “The results...
by Emma Cleveland | 2014-05-01 | 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. Timeline: Key Proposals: 1. Depositary UCITS V will require the appointment of a single independent authorised...
by gcleve | 2014-04-21 | 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...
by gcleve | 2012-04-07 | 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...
