regulation

Regulation

Former Schroders trader to be sentenced for insider trading

Pleaded guilty to nine counts

clock 16 March 2016 • 1 min read

Regulation

Wealth managers warn MiFID II reporting demands will raise costs

Panic selling also a risk

clock 15 March 2016 • 3 min read

UK

Gosling's Grouse: Zero-impact regulatory regime

Not enough to restore confidence

clock 14 March 2016 • 2 min read

Regulation

FAMR: Retirees should get early access to pension cash to 'pay for advice'

FAMR recommends limited early access

clock 14 March 2016 • 1 min read

Regulation

Time for more scrutiny of outsourcing?

FCA review focused on platforms

clock 13 March 2016 • 2 min read

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
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