We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Articles

Results 1 to 5 of 13
Most popular |Most recent


Focus on suitability compliance: a message not only for wealth managers

United Kingdom - July 14 2011 The FSA's "Dear CEO" letter to chief executive officers of firms in the wealth management industry, published on 14 June, described widespread failings identified in a review of the suitability of client portfolios in 16 wealth management firms, and suggests that the same failings may be prevalent in firms outside its initial sample....

Jenny Stainsby, Karen Anderson, Nikunj Kiri, Martyn Hopper.

Client money and assets: emerging issues

United Kingdom - March 31 2011 FSA fines for client money and asset failings continue to make the headlines....

Patrick Buckingham, Patricia Horton, Karen Anderson.

The MiFID review: “execution-only” business

European Union - February 23 2011 More than three years after its implementation, the European Commission published its consultation on the review of the Markets in Financial Instruments Directive ("MiFID")1 on 8 December 2010....

Patrick Buckingham, Karen Anderson.

Prohibition on the use of general liens in custody agreements

United Kingdom - January 31 2011 Subject to certain exceptions, the use of general liens in custody agreements will be prohibited from 1 March 2011....

Patrick Buckingham, Patricia Horton, Karen Anderson.

CASS audit reports

United Kingdom - January 31 2011 The CASS audit report sets out whether a firm has complied with CASS rules and explains the extent of any breaches....

Patrick Buckingham, Patricia Horton, Karen Anderson.