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Results: 1-10 of 269

Outsourcing in the asset management industry

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 12 2014

Like many financial services businesses, asset managers have suffered in the global financial crisis. As a result, many asset managers

RDR payments from discretionary investment managers to advisers

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • February 27 2014

From 31 December 2012, the rules introduced to implement the UK's Retail Distribution Review (RDR) prevented advisers, amongst other things, from

Financial services updater - 4 February 2014: collective investment schemes

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • February 4 2014

The Financial Markets Law Committee (FMLC) has published its response to Consultation Paper 135: Review of the client assets regime for investment

Financial services updater - 4 February 2014: FCA PRA Handbook

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • February 4 2014

The PRA consults on administration instruments. An administration instrument is used to make corrections to PRA Handbook provisions. The corrections

Financial services updater 13 January 2014: retail

  • Norton Rose Fulbright LLP
  • -
  • Global, United Kingdom
  • -
  • January 13 2014

The International Organization of Securities Commissions (IOSCO) has published its final report on the regulation of retail structured products

Crowdfunding

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • January 10 2014

Crowdfunding, the term used to describe the increasingly popular method of financing, or re-financing individuals, firms, charities or activities by

Consumer Credit - a risk map and timeline

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • July 24 2013

From April 2014, the Financial Conduct Authority (FCA) will take over regulating consumer credit firms, currently regulated by the Office of Fair

The small firms financial crime review

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 31 2010

In April 2008, the FSA launched a major thematic project which was aimed at establishing the extent to which small firms across the financial services industry addressed financial crime risks in their businesses

The six-month time limit

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 31 2010

The Financial Ombudsman Service (FOS) has published an online technical resource note that explains the "six-month time limit" for referring complaints to it

FSA enforcement

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 31 2010

A former inter-dealer broker has been prohibited in connection with deliberate unauthorised trades