Searching Content indexed under Finance and Banking by Kirsten Lapham ordered by Published Date Descending.
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EU Adopts New Rules On Marketing Investment Funds
The EU has now adopted supplementary rules on how funds are marketed to professional investors in the EU that the European Parliament voted on in April this year.
United States
8 Jul 2019
New FCA Regime Will Emphasize Individual Accountability
From Dec. 9, 2019, all Financial Conduct Authority solo-regulated firms, as well as European Economic Area and third-country branches will be subject to the Senior Managers and
United States
5 Jul 2019
FCA 2019/20 Business Plan Released Highlighting Conduct Supervision And Financial Crime As Key Focus
The Financial Conduct Authority ("FCA") has released its business plan for 2019/20, in which it sets out its areas of focus for the coming year, and outlines how it proposes to respond to issues it has identified.
United States
14 May 2019
Investment Firms Post-Brexit: EU Provisionally Agrees To Regulatory Supervision Framework
EU policy makers recently reached a provisional agreement on a package of measures, which may tighten UK financial services firms' access to EU clients when Britain leaves the EU...
European Union
25 Mar 2019
Changing Status Of EU Local Authorities Under MiFID II
From January next year, MiFID II will exclude "public sector bodies, municipalities and local public authorities" from the list of per se professional clients.
European Union
9 Nov 2017
New Disclosure Requirements Applying To EU Fund Distribution In 2018
Asset managers located inside and outside the EU must comply with the new "point of sale" disclosure requirements that will apply when they distribute financial products, and investment services...
European Union
22 Sep 2017
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