Results 1 to 5 of 92

Regulated advice: clarity for some, complexity for others

United Kingdom - April 11 2017 An area of continuing difficulty for firms is the question of the point at which providing "guidance", which bears no regulatory connotations, becomes…

James Burnie, Hugh Gittins

Our Digital FS glossary of FinTech terms

United Kingdom - April 5 2017 FinTech, the use of new technologies in the financial services industry to improve operational and customer engagement capabilities, has produced a…

James Burnie, Matthew Gough

Navigating Financial Regulation - Investment Management Update March 2017

European Union, United Kingdom - March 30 2017 On 8 February 2017, the FCA published a discussion paper (DP17/1) which seeks stakeholder views on the practice of investing in illiquid assets…

Mike Booth, Melanie Panzone, David Saunders, Michaela Walker

The Dormant Assets Report and CASS: an improved approach to gone-aways for managers?

United Kingdom - March 10 2017 Dealing with gone-away clients is a perpetual challenge for investment and wealth managers. The report of the Commission on Dormant Assets published…

Michaela Walker

MiFID II: first batch of final rules - minor change; consultation paper 17/8 - rules for occupational pension schemes

United Kingdom - March 4 2017 As the deadline of the MiFID II implementation approaches, the FCA continues on apace, publishing both its fifth consultation paper and its first…

James Burnie