Compliance

Regulation

Two thirds of firms unlikely to meet MiFID II deadline

Regulatory costs expected to double in next five years

clock 26 April 2017 • 2 min read

Regulation

What are the biggest risk management challenges for asset managers in 2017?

Compliance officers and IT risk management more important than ever

clock 03 January 2017 • 3 min read

Asset Managers

Shrinking compliance budgets put pressure on asset managers' hiring habits

Firms increasingly hiring staff from sell-side

clock 20 December 2016 • 1 min read

Asset Managers

Fund manager's FCA ban upheld by tribunal

Failed to stop a client committing market abuse

clock 21 October 2016 • 1 min read

Regulation

Gosling's Grouse: Not all hospitality is bad

FCA sharpens focus on adviser hospitality

clock 30 September 2016 • 2 min read

Regulation

FCA criticised for failure to understand cost of compliance

NAO report says regulation harms innovation

clock 24 February 2016 • 3 min read

Wealth Management

London & Capital poaches Towry man for regulatory role

Wealth manager London & Capital has hired Towry's general counsel Thomas Donlon in a bid to manage regulatory change and drive business growth.

clock 27 April 2015 •

Wealth managers

Five simple rules for understanding the FCA's practices

Understanding the regulator just got easier

clock 10 April 2015 • 5 min read

Wealth managers

Retweet at your peril: Eight FCA social media dos and don'ts

Retweet at your peril: Eight FCA social media dos and don'ts

clock 13 March 2015 • 5 min read

Wealth managers

FCA concerned about compliance 'for the sake of it'

Compliance which adds little to the client experience except an extra layer of cost is on the regulator's radar as an area of concern it is investigating, Financial Conduct Authority (FCA) technical specialist Rory Percival has said.

clock 24 April 2014 • 1 min read
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