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The FCA's 5 Conduct Questions: Senior managers of all firms required to consider their culture

United Kingdom - July 11 2019 Although the 5 Conduct Questions programme (5CQ) has been running for some years, and was originally aimed at wholesale banks and subsequently...

Phil Bartram, Michael Raymond, Tim Lewis, Jane Tuckley.

Appointed Representatives: FCA concerned about oversight and risks

United Kingdom - May 24 2019 The FCA has raised concerns about appointed representative (AR) arrangements entered into by firms in the investment management sector (including...

Phil Bartram, Tim Lewis, Jane Tuckley.

MLD 5: HMT consultation on UK transposition

United Kingdom, European Union - May 15 2019 On 15 April 2019, H.M. Treasury published a consultation paper seeking views on the transposition of the Fifth Money Laundering Directive (MLD 5) in...

Phil Bartram, Tim Lewis, Jane Tuckley.

New EU prudential regime for investment firms

United Kingdom, European Union - May 2 2019 The new Regulation on prudential requirements for MiFID investment firms (IFR) and the accompanying Directive (IFD) have now been passed by the...

Phil Bartram, Tim Lewis, Jane Tuckley.

The EU crossborder distribution of funds

United Kingdom, European Union - April 18 2019 On 16 April 2019, the European Parliament adopted a new package of measures which will amend the existing regimes governing the cross-border...

Phil Bartram, Will Normand, Sam Kay, Jeremy Elmore, Tim Lewis, Jane Tuckley, Aaron Stocks.