Regulation
FCA says lack of proper PI cover places 'unfair' burden on FSCS and firms
Dear CEO letter sent today
Broadridge buys FundsLibrary from HL to create 'pan-European digital data platform'
Transaction will close in February
Close Asset Management to compensate client for unwanted ongoing advice
Client invested £25,000 through DFM service
FCA raised concerns with ACDs twice before Woodford collapse
Kept details private
Diversity Blog: The Diversity Project launches Cross-Company Returner Programme
Round-up of diversity coverage
Fidelity CEO Richards backs new open-ended fund rules - reports
Follows Woodford collapse
FCA begins ACD market probe - reports
Focusing on external ACDs
Rating agencies face continued regulatory pressure in Esma proposals for internal control functions
Watchdog launches consultation
FCA and BoE ramp-up data credentials to 'transform' UK regulation
Should reduce reporting cost burden
Burford Capital confirms dismissal of US class action
Announces management changes for ‘future global growth’
'Expect increasing scrutiny' on Libor transition efforts - FSB
Efforts to shift from Libor too slow
Auditing review calls for dividend assurances for investors
Donald Brydon's new report
Regulation outlook 2020: Liquidity, ESG and reporting in the spotlight
Operational resilience and liquidity under scrutiny
BoE: Fund liquidity mismatches could 'amplify shocks in the financial system'
May also impact the provision of finance to the economy
FCA accused of aiding scammers through its register
Advisers describe it as a “complete shambles”
SJP claims charges are 'mid-range' compared to competitors
In quarterly newsletter
Accountability standards questions remain as SMCR comes into force
New guidelines introduced at the start of December
'Honeymoon period' as firms escape fines for MiFID II reporting failures
FCA pragmatism 'will not last forever'
Hargreaves Lansdown among targets of Woodford investors' legal challenge
Investors face 'heavy financial losses'
FCA to temporarily ban promotion of speculative mini-bonds
From 1 January 2020
Regulation Blog: Government set to create tech regulator
MiFID II, SMCR and beyond
How compliance teams can face the 'surveillance conundrum'
Keeping up with changing regulation
MiFID III 'the last thing' asset management needs amid EU review
Changes to take place by next year
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