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News And Insights

  • Regulatory Update

Remuneration Code – MiFID Version

Proposals driven from a Conflicts of Interest perspective in relation to the provision of services
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  • Regulatory Update

CASS Proposals

Further changes to CASS regime proposed including changes required by EMIR
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  • Regulatory Update

Regulation of Indices

New European Commission consultation follows recent alleged manipulation of LIBOR
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  • Regulatory Update

Incentives

New consultative guidance follows FSA review of 22 firms of which 20 had incentive schemes
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  • Regulatory Update

Client Money Failings

BlackRock Investment Management (UK) Ltd fined more than £9.5m for failures relating to trust status
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  • Regulatory Update

Soliciting in the US

Proposed lifting of ban on general solicitation for certain securities offerings
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