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Article

Brodies LLP | United Kingdom, European Union | 22 May 2019

SRD II requirements for proxy advisory services

In January the Financial Conduct Authority (“FCA”) published a consultation paper on proposed regulations implementing the provisions of the revised

Article

Brodies LLP | United Kingdom | 7 May 2019

FCA reviews its Innovate Programme to assist Fin-Tech

Just over 5 years Ago the UK’s Financial Conduct Authority (“FCA”) launched its “Innovate” programme to support firms developing the innovative

Article

Brodies LLP | United Kingdom | 2 May 2019

A Duty of Care to Consumers- FCA’s latest thoughts

The FCA has recently published its Feedback Statement FS192 (“A duty of care and potential alternative approaches ”). This provides feedback on the

Article

Brodies LLP | United Kingdom | 16 Apr 2019

Investment platforms market study

In March the FCA published its final report on its Investment Platforms Market Study, which is effectively a review of how investment platforms are

Article

Brodies LLP | United Kingdom | 16 Apr 2019

Investment Platforms- What’s changing

In March, the FCA published a final report on its Investment Platforms Market Study. The report considers how investment platforms are servicing

Article

Brodies LLP | United Kingdom, European Union | 1 Apr 2019

FCA Flowchart for Contract Continuity and Temporary Permissions Regimes

In recent Blogs we described the arrangements that will apply to EEA Firms with branches or operations in the UK in a scenario where exit takes place

Article

Brodies LLP | United Kingdom | 4 Mar 2019

Optimising the Senior Managers Regime

While many firms are still adjusting to the Senior Managers and Certification Regime - it has applied to banks for some time now, insurers

Article

Brodies LLP | United Kingdom | 4 Mar 2019

Countdown to the Senior Managers & Certification Regime

The countdown to the full implementation of the Senior Managers and Certification Regime (“SMCR”) to cover all authorised firms including fund and

Article

Brodies LLP | United Kingdom | 26 Feb 2019

Investment Association publishes helpful guidance on how to ensure documentation is “clear and comprehensible”.

The Investment Association Guidance on Fund Communication (the “Guidance”) published this week looks set to be a very helpful resource for managers

Article

Brodies LLP | United Kingdom | 12 Feb 2019

FCA announces measures to improve retail fund investor information

In a recent policy statement FCA has set out a package of measures to improve the quality, comparability and robustness of information provided to

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