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News And Insights

  • Regulatory Update

EBA: Report on Investment Firms and Prudential Requirements

There has long been a recognition within the industry that the prudential requirements of investment

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  • Regulatory Update

Robo Advisers Present a New Set of Risks

The advent of automated retail advisers - Robo Advisers opens a new set of compliance
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  • Regulatory Update

SEC Year End Obligations

Now that 2016 is firmly upon us, a number of United States regulatory filing deadlines

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  • Regulatory Update

Market Abuse: Delegated Regulation

The European Commission has published a Delegated Regulation addressing further matters relating to Market Abuse
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  • Regulatory Update

SEC Office of Compliance Inspections and Examinations Examination Priorities for 2016

On 11 January 2016 the SEC Office of Compliance Inspections and Examinations (OCIE) announced its
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  • Regulatory Update

CRD 4: Remuneration and Proportionality

The EBA has published its final Guidelines on sound remuneration policies under CRD 4
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