Sep 13, 2023 Remember, remember the 6th of November… Apply for financial promotions gateway By Clare Whittle James Morris Simon Treacy Karen Cooper +1 more... Show less FCA firms up rules for firms that approve financial promotions.Approvers should prepare applications as soon as possible. The Financial...
May 25, 2023 EU Retail Investment Strategy puts forward significant proposals which mirror concepts from the UK Consumer Duty By Karen Cooper The Commission’s legislative proposals on the Retail Investment Strategy (published on 24 May 2023) suggest a significant overhaul of EU...
May 18, 2023 ESMA wants clarity on “undue costs” under UCITS and AIFMD, which may feed into beefed up “value for money” rules under EU Retail Investment Strategy By Raza Naeem ESMA has published an Opinion setting out suggestions to the European Commission for possible clarifications of the legislative...
Apr 05, 2023 FCA Business Plan 2023/24: acting faster to detect and prevent harm By Premlata Fagan Karen Cooper In his latest Business Plan, published on 5th April 2023, FCA CEO Nikhil Rathi sets out the FCA’s plans to deliver the second year of its...
Apr 03, 2023 Investment research review issues snap call for evidence By Raza Naeem Karen Cooper Simon Treacy A review of the UK’s rules for investment research was announced as part of last year’s Edinburgh Reforms. Now the first stakeholder...
Mar 28, 2023 ESMA finalises MiFID II product governance guidance with minor changes… but suggests further guidance may follow in Q&A By Karen Cooper ESMA has published its final report on guidelines on product governance, which includes ESMA’s response to feedback on ESMA’s 2022...
Feb 28, 2023 FCA publishes initial observations on IFPR implementation with comments on ICARA and reporting which firms should take on board By Karen Cooper The new UK prudential regime for investment firms (IFPR) applied from January 2022. At the time, firms were encouraged to implement on a...
Aug 03, 2022 EU: MiFID II ESG amendments apply from 2 August By Julia Voskoboinikova The set of delegated regulations and directives in relation to the integration of sustainability risks and sustainability factors in the...