Regulatory
Consumer Duty – FCA Cross Cutting Rules
With Consumer Duty uppermost in the consciousness of Investment Managers, and how it affects their organisations, we look at the main points of the cross-cutting rules outlined
Read More“Cross-Cutting and Category-Specific SDR labelling”
In our previous post discussing the SDR sustainable labelling (21st November, SFDR vs SDR Sustainable Fund Classifications – Mapping the Differences
Read MoreSFDR vs SDR Sustainable Fund Classifications – Mapping the Differences
With UK/EU regulatory divergence a key theme now, and with the existing SFDR classifications and the new SDR product labels
Read MoreESMA MiFID II Suitability Requirements Around Sustainability
ESMA has published its final report guidelines on selected aspects of the MiFID II suitability requirements, including specifically around
Read MoreISC Regulatory Change Forum June 2022
Thank you to @Jonathan Boswell and @Simon Haque for hosting a very informative Regulatory Change forum last month and thank you to those who attended we hope you found this useful and interesting
Read MoreESMA requirement to create a process for selecting consolidated tape providers
MiFID II/MiFIR proposed the idea of putting Consolidated Tape (CT) providers into place, platforms which would provide consolidated data on prices and
Read MoreMiFID II / MiFIR consultation and review – key issues and timescales
Following a review of MiFID II and MiFIR, the European Commission has published a set of legislative amendment proposals, designed to
Read MoreSustainable Finance Disclosure Regulation (SFDR) – Are you ready?
The Sustainable Finance Disclosure Regulation (SFDR) was introduced by the European Commission to improve transparency around sustainable investing and to prevent greenwashing. It affects asset managers and other financial
Read MoreFCA’s Implementing Technology Change
Ben Walder, our Head of Transformation, is writing a series of posts on the FCA’s Implementing Technology Change report (https://www.fca.org.uk/publications/multi-firm-reviews/implementing-technology-change ) – sharing thoughts and ideas on the report’s key findings. Here is his 2nd post
Read MorePRIIPs KID Deferral
There was no doubt a collective sigh of relief across the funds industry with a further extension of the PRIIPs KID transition period to January 1, 2023
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