Illiquid Assets and Open-ended Funds
FCA publishes discussion paper
FCA Asset Management Market Study: Interim Report
FCA publishes interim report on asset management market study
Investment and Corporate Banking: Final Report
Of relevance to: IPO stakeholders including corporate finance advisers, investment banks and buy-side investors In May 2015 the FCA launched a market study into investment and corporate banking by publishing […]
Introducers: FCA Concerns
FCA raises concerns over inappropriate influence of introducers over authorised firms’ investment choices
Advising: FCA Register Part 4A
Firms may unintentionally and unnecessarily hold permission ‘advising on P2P agreements’
4MLD: HM Treasury Consultation
Treasury publishes Consultation Paper on transposition of 4MLD
4MLD: High-risk Countries
Of relevance to: All firms Around one week after HM Treasury published its Consultation Paper on the Fourth Money Laundering Directive (“4MLD”) – see previous article “4MLD: HM Treasury Consultation” […]
Advice: Amending the Definition
HM Treasury issues open consultation on recommendation to amend the definition of regulated advice.
PRIIPs: Are you ready?
Regulation 1286/2014 on the provision of key information documents for packaged retail and insurance-based investment products (PRIIPs) applies from 31 December 2016.
Bank of England and Financial Services Act 2016
The Bank of England and Financial Services Act 2016 received Royal Assent on 4 May 2016