Insights
Consumer Duty – upcoming deadlines for manufacturers and distributors
In July 2022, the FCA set out the final rules and guidance for a new Consumer Duty that will set higher and clearer standards of consumer protection across financial services.
The FCA proposed different responsibilities for firms classed as the manufacturer or distributor of a product or service.
How to ensure your product scope is right…..
Working on Client requirements for a new fund then taking these requirements to the Business can often throw up complexities in unexpected ways. Every fund is different, and we often see the detailed requirements gathered from the
Read MoreISC Regulatory Horizon Scanning for 2023 (& 2024)
ISC Regulatory Horizon Scanning for 2023 (& 2024) ISC has reviewed the regulatory horizon for 2023, (but also…
Read MoreESG – Mapping SEC Product Categories to FCA Classifications
Back in November 2022, we posted a brief article on SDR vs. SFDR fund classifications, how they will differ going forward, and the outline considerations to be made when determining how funds/products will be classified
Read MoreProspectus Changes: Is Agile better than Waterfall?
A hefty chunk of the work done by Retail Product Teams in Asset Managers is the ongoing cycle of Prospectus updates. The juggling of changing regulation, updates to corporate structures and personnel, and clarifications on wording all
Read MoreUK/EU Regulatory Divergence – Asset Management Industry Outlook
In the wake of the UK leaving the EU, the UK’s Brexit Freedoms Bill introduced powers to make it easier to amend retained EU regulations. This, coupled with the UK and the EU both now taking their own direction on financial regulation moving forward means that divergence between the UK and the EU is increasing. This brings into focus that asset
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