Compliance

Regulation

SM&CR is a cultural wake-up call for the investment industry

New regulation comes into effect in December

clock 19 June 2019 • 3 min read

Regulation

FCA issues second warning about 'seriousness' of misleading advertisements

'Dear CEO' letter published yesterday

clock 12 April 2019 • 1 min read

Regulation

What will the new SMCR extension mean for fund managers?

Firms must start planning for new regime

clock 11 March 2019 • 4 min read

Industry

What will the next RDR review mean for investors?

Warnings of a regulation "crackdown"

clock 13 February 2019 • 3 min read

Industry

How can fund selectors really carry out due diligence?

Bespoke questionnaires and RFPs inefficient

clock 05 February 2019 • 4 min read

Regulation

Artemis hires Deloitte exec as chief risk officer

Ross Millar to front compliance and risk functions

clock 04 October 2018 • 1 min read

Asset Managers

LGIM whistleblowers accuse firm of 'toxic' risk culture and compliance failures - reports

Whistleblowing cases

clock 31 July 2018 • 2 min read

Regulation

Industry faces ongoing compliance challenge to limit GDPR costs

Avoiding financial penalties

clock 24 May 2018 • 2 min read

Specialist

Lessons must be learnt from robo failings

Regulatory risk

clock 23 May 2018 • 2 min read

Specialist

Artificial intelligence - is the UK ready, willing and able to invest?

Assessing the country's ability to develop AI

clock 22 May 2018 • 4 min read
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