regulation

Regulation

'Honeymoon period' as firms escape fines for MiFID II reporting failures

FCA pragmatism 'will not last forever'

05 December 2019 • 2 min read

Regulation

Swiss regulator moves to sanction GAM over 'potentially material misstatement' in Cantab liabilities

Acquisition in 2016

04 December 2019 • 2 min read

Specialist

IA's Responsible Investment Framework aims for clarity within industry's ESG space

The story behind the new guidelines

27 November 2019 • 4 min read

Markets

What does Christine Lagarde, as ECB president, need to do to tackle Europe's stagnant growth? (Part II)

Second instalment of our special Big Question

27 November 2019 • 1 min read

Regulation

FCA to temporarily ban promotion of speculative mini-bonds

From 1 January 2020

26 November 2019 • 3 min read

UK

MGIM CEO: Fund buyers must hold star managers to account post Woodford

Higher levels of 'maturity and understanding' required

26 November 2019 • 3 min read

Regulation

FCA fines Henderson £1.9m for overcharging customers in 'closet trackers'

More than 4,500 retail investors affected

20 November 2019 • 2 min read

Regulation

How compliance teams can face the 'surveillance conundrum'

Keeping up with changing regulation

18 November 2019 • 3 min read

Regulation

MiFID III 'the last thing' asset management needs amid EU review

Changes to take place by next year

18 November 2019 • 2 min read

Asset Managers

Update: Industry welcomes IA's clarity on responsible investment definitions, but progress still needed

New guidelines from the Investment Association

15 November 2019 • 3 min read