11/22/2022
The regulator is particularly focused on whether it makes sense to have quantitative thresholds for the minimum proportion of investments needed to support a fund with ESG or sustainability in its name.
11/22/2022
Dentons mobilised a team of lawyers from energy, public law, and various other disciplines from across our UK firm to undertake this significant project, which is ongoing.
11/22/2022
The regulator also does not know how many of its staff members previously worked as financial adviser or for a financial advice firm.
11/21/2022
This review will inform the FSB’s assessment of the effectiveness of its 2017 policy recommendations to address structural vulnerabilities from liquidity mismatch in open ended funds.
11/21/2022
All medium-sized and large companies in selected sectors would fall under the legislation.
11/21/2022
This charge will be £525 for those firms holding up to £10mn of AUA.
11/21/2022
The standardised documents make it easier for retail investors to compare products to each other and require firms to consider how their products will fare when distilled down to a uniform product description.
11/18/2022
Calls for system to be assessed to find a ‘fairer way’ to raise the state pension
11/18/2022
The FOS will therefore continue to look at alternative options and will consult on those that it believes will result in a fairer charging mechanism at the appropriate time.
11/18/2022
The FCA initially decided to impose a financial penalty of £76,400 on Mr Prodhan in May 2018.
11/18/2022
As a result of these failings, SBUK’s staff did not appreciate the need to comply with AML requirements, and the MLRO function was ineffective in monitoring their compliance.
11/17/2022
Governor says the UK's name 'has taken a knock' after the mini-budget crisis
11/17/2022
Designed as a single, uniform set of rules for the EU, these rules will give users new protections and businesses legal certainty across the whole single market.
11/17/2022
However, nothing is certain since the European supervisors have also warned that it is their task to instill a good degree of prudence in banks’ behaviours.
11/17/2022
These RTS will ensure that all competent authorities follow the same harmonised approach when adopting the decision to impose further liquidity requirements to an investment firm.
11/17/2022
Figures released yesterday from the Office for National Statistics showed inflation hit a 41-year high in October of 11.1 per cent.
11/17/2022
“Ultimately, meeting these targets and embedding the consumer duty are in firms’ interests too,” Rathi said.
11/16/2022
In order to have a harmonised application of the specific liquidity requirements, the RTS address the main elements that may affect the liquidity risk of an investment firm.
11/16/2022
In a joint statement , Indonesia and international partners have announced their commitment to meeting ground-breaking climate targets and related financing.
11/16/2022
Account management lacked active oversight and robust control processes and automated transaction monitoring and data capabilities were insufficient