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News And Insights

  • Regulatory Update

AIFMD: Annex IV Reporting Issues

The FCA issues a further set of Q&As to assist firms encountering problems meeting Annex
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  • Regulatory Update

Improving Conduct

Aimed at the wholesale market, Tracey McDermott's speech gives clues to the questions all firms
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  • Regulatory Update

Financial Advice Market Review

The FCA and HM Treasury has launched the Financial Advice Market Review (FAMR)
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  • Regulatory Update

FCA Regulation Roundup August – Highlights

A high-level overview of recent items of regulatory interest for August
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  • Regulatory Update

AIFMD Passport and non-EU Jurisdictions

ESMA issues advice of extension of AIFMD passport
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  • Regulatory Update

Registered Investment Advisers – Personal Account Dealing Guidance

SEC expresses its views on the application of Rule 204A-1
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