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News And Insights

  • Regulatory Update

FATCA Reminder

First returns must be submitted to HMRC by 31 May 20
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  • Regulatory Update

AIFMs – Changes to Handbook

The FCA publishes its Quarterly Consultation Paper CP15/8 this month
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  • Regulatory Update

Financial Promotions – Social Media

ESMA publishes review on the supervision and enforcement of MiFID requirements relating to best execution
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  • Regulatory Update

EMSA Peer Review

As may be recalled, last July the FCA released the results of a thematic review
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  • Regulatory Update

Allocation, Allocation, Allocation

Aviva Investors Global Services Ltd has been fined £17,607,000 for what the Final Notice describes
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  • Regulatory Update

Structured Products Industry – Falls Short

FCA’s Thematic Review (TR 15/2) finds that manufacturers and distributors of structured products have a
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