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.

Search

Clear all

Refine your search

Content type

Tags

Author

39 results found

Article

Eversheds Sutherland (International) LLP | United Kingdom | 11 Apr 2017

Regulated advice: clarity for some, complexity for others

An area of continuing difficulty for firms is the question of the point at which providing "guidance", which bears no regulatory connotations, becomes

Article

Eversheds Sutherland (International) LLP | United Kingdom, European Union | 30 Mar 2017

Navigating Financial Regulation - Investment Management Update March 2017

On 8 February 2017, the FCA published a discussion paper (DP171) which seeks stakeholder views on the practice of investing in illiquid assets

Article

Eversheds Sutherland (International) LLP | United Kingdom | 4 Mar 2017

MiFID II: first batch of final rules - minor change; consultation paper 178 - rules for occupational pension schemes

As the deadline of the MiFID II implementation approaches, the FCA continues on apace, publishing both its fifth consultation paper and its first

Article

Eversheds Sutherland (International) LLP | United Kingdom, European Union | 7 Feb 2017

Measuring your approach - MiFID II Best Execution

MiFID II changes the obligations for Investment Firms when executing orders, receiving and transmitting orders or when conducting portfolio

Article

Eversheds Sutherland (International) LLP | United Kingdom | 17 Jan 2017

A PROD to update your processes and agreements - Implementing the MiFID II Product Governance and Distributor Governance Rules

The FCA is proposing to introduce a new Product Intervention and Product Governance sourcebook ("PROD") to implement the MiFID II product governance

Article

Eversheds Sutherland (International) LLP | United Kingdom | 3 Jan 2017

Crowdfunding interim FCA report: a sigh of relief for investment-based crowdfunding, bated breath for loan-based crowdfunding

The FCA is considering, given the recent rapid increase in the size of the crowdfunding market, whether now is an appropriate time to consider whether

Article

Eversheds Sutherland (International) LLP | United Kingdom, European Union | 21 Dec 2016

The FCA’s Fourth MiFID 2 Consultation Paper: Three Points for Asset Managers

The FCA published CP 1643 on 16 December. This is its fourth consultation paper on the MiFID 2 implementation. As a final "clean-up" consultation

Article

Eversheds Sutherland (International) LLP | United Kingdom | 18 Nov 2016

FCA asset management market study: Interim report sees the FCA flexing its competition powers

The Financial Conduct Authority (FCA) published its long-awaited interim report for the asset management market study today, Friday 18 November 2016

Article

Eversheds Sutherland (International) LLP | United Kingdom | 15 Nov 2016

FCA Regulatory Sandbox results, the second cohort and the FSB speech

As the appeal of FinTech grows globally, the FCA have announced the results of the first batch of applications to the sandbox, as well as providing

Article

Eversheds Sutherland (International) LLP | United Kingdom, Bermuda, Cayman Islands, etc. | 11 Nov 2016

Navigating Regulatory Compliance Investment Management Update - November 2016

On 5 October 2016, ESMA published a consultation paper (ESMA20161436) on product governance guidelines under the MiFID II Directive (201465EU)

Previous page 1 2 3 4