1205 briefings from 365 companies
Regulation - Briefings related to Regulation
This FCA guidance addresses the potential for adviser remuneration to distort the advice consumers receive. It is relevant to all providers of retail investment products to be sold by advisers and any advisory firm providing personal recommendations in relation to retail investment products.
Published:12 March 2014
Professional indemnity insurance, commonly known as PII, provides protection for a firm against claims emanating from a third party which arise out of the conduct of their professional business. Geared towards financial advisors, this whitepaper provides a guide to professional indemnity.
Published:10 October 2013
Investment managers should invest a significant portion of their investible wealth and total remuneration alongside that of their investors, in order to bring clients’ interests into line with their own, according to a new report by the prominent London and Paris based financial services think tank,
Company:New City Initiative
Published:28 August 2013
The Retail Distribution Review is nearly upon us and it certainly has been a long time coming. Committed to helping advisers transition their business as efficiently as possible to whichever business model they have decided is best for them and their clients in the post-RDR world, Threadneedle have
Company:Protected Product Review
Published:08 October 2012
Predicting the next mis-selling crisis has always been a difficult task and FSA have accepted that they will never achieve this. Instead, they are opting for a more aggressive and interventionist model which seeks to prevent major mis-selling scandals in the future.
Published:06 June 2012
In a welcomed decision for the derivatives market and the users of the ISDA Master Agreement, the English Court of Appeal recently handed down its judgment in four related cases including Lomas and others v JFB Firth Rixson Inc. Baker & McKenzie summarise the key points to take away.
Company:Baker & McKenzie
Published:02 May 2012
From 1 January 2013, the US Foreign Account Tax Compliance Act will require foreign financial institutions to enter into an agreement with the US Internal Revenue Service to send certain information on their US account holders. This briefing outlines in detail the impact of the new rules.
Published:03 April 2012
This in-depth article describes the key aspects of the Act, the scope of the offences, the ambit of the Act's extra-territorial reach, recent related case law and penalties, current enforcement trends (including plea-bargaining), and how to devise and implement an effective compliance programme.
Published:09 March 2012
Austria's financial authority recently amended the compliance regulation to introduce the concept of "compliance-relevant information". Schoenherr look in detail at the changes the ECV 2007 amendment brought; the circular on compliance rules; and the measures issuers and advisors will need to take.
Published:17 February 2012
As of 31 March 2012, certain non-US investment advisers will be required for the first time to be registered with the US Securities and Exchange Commission under the Investment Advisers Act of 1940. DLA Piper outline the three main exemptions from registration and the implications of registration.
Published:10 February 2012
Business Area:Wealth Management