regulation

Regulation

Three key compliance challenges for MiFID II Product Governance Rules

Rob Swan, managing director - data services at Calastone Data Services, takes a closer look at how fund managers can monitor their distribution chains under new regulations.

clock 10 March 2016 • 2 min read

Regulation

FCA seeks responses to special administration regime consultation

New discussion paper published

clock 09 March 2016 • 1 min read

Regulation

Comment: Who is judging the judges on fund selection and ratings?

The implementation of the RDR was intended to stamp-out bias in the area of investment advice.

clock 07 March 2016 • 5 min read

Regulation

Asset managers risk reputation by 'sweeping market abuse regulation under the carpet'

Failing to prioritise 'critical' regulation

clock 23 February 2016 • 2 min read

Asset Managers

FCA fines WH Ireland £1.2m and restricts new client bookings over market abuse failings

Was warned of fine in December

clock 23 February 2016 • 2 min read

Regulation

Top ten Brexit articles: What does the industry expect?

EU referendum looms

clock 19 February 2016 • 1 min read

Financial services

Ex-FSA chairman attacks P2P in wake of industry's biggest failure

Crowdfunded Rebus lost £800k

clock 10 February 2016 • 4 min read

Financial services

MiFID II officially delayed until January 2018 by EU regulators

'Exceptional technical implementation challenges'

clock 10 February 2016 • 1 min read

Regulation

Jargon is not the only problem with industry consumer communications

Majid Shabir, CEO of Instinct Studios, argues ditching jargon is an important part of communication, but using technology and creative design to turn data into meaningful information will help support investors in making properly informed financial decisions....

clock 10 February 2016 • 3 min read

Asset Managers

EU regulator clamps down on 'closet' trackers and considers rethink of active/passive definitions

Surveyed over 2,000 funds

clock 02 February 2016 • 3 min read
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