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EU cross-border distribution of funds – implications for UK managers
New rules to harmonise themarketing and pre-marketing process within the European Union will have animpact on United Kingdom and other non-EU managers that market their funds intothe bloc, reports Leonard Ng.
Online Published Date:
06 September 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
UK must take leaf from US playbook to counter spoofing
Markedly different trans-Atlanticoutcomes in the fight against spoofing, point to the need for the UnitedKingdom to close a legislative gap, argues Florian Nitschke.
Online Published Date:
07 September 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Senior management accountability – the regulator’s nemesis
A recent drubbing in front of the Upper Tribunal in the Forsyth case, suggests that the Financial Conduct Authority must examine itself and its own accountability before it can be regarded as a safe enforcement operator. Adam Samuel reviews the “enforcement mayhem” and suggests ways forward.
Online Published Date:
07 September 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Treasury confirms tightening of financial promotions regime
The Government is creating a new regulatory ‘gateway’ that will bring significant changes to the way authorised firms can approve the financial promotions of unauthorised persons. Charlotte Hill and Daniel Hirschfield explain how the regime will operate.
Online Published Date:
08 September 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Insurance industry survey finds persisting conduct concerns
A survey of insurance business culture within the London Market suggests that firms still tend to prioritise commercial success over ethical conduct and that homeworking has enhanced the risk of non-financial misconduct. Jeremy Irving outlines the results.
Online Published Date:
08 September 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Treasury, FCA and crypto-regulation – are consumers too exposed?
Research by the regulator has revealed poor levels of publicunderstanding about cryptoassets, and activity in this area can leave consumersat serious risk of suffering loss. Treasury proposals are a step in the rightdirection, argues Thomas Cattee.
Online Published Date:
08 September 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Banks still not complying with APP fraud Code, finds Lending Standards Board
A second review of banks’ compliance withthe APP fraud Code reveals that most issues found in the first assessment areunresolved, while some new concerns were identified. The objectives of the Codealong with numerous regulatory obligations are being disregarded, comments DenisO’Connor.
Online Published Date:
08 September 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
FCA to take swifter action against firms that don’t use regulatory permissions
By Neasa MacErlean
Online Published Date:
14 September 2021
Appeared in issue:
Vol 34 No2 - 14 September 2021
Bans on Brandeis former senior manager and traders
Timon Molloy
Online Published Date:
16 September 2021
Appeared in issue:
Vol 16 No 6 - 01 March 2004
Value for Money benchmarks proposed for DC pension schemes
By Neasa MacErlean
Online Published Date:
17 September 2021
Appeared in issue:
Vol 34 No2 - 14 September 2021
PRA tells firms to review regulatory reporting after finding “significant deficiencies”
By Neasa MacErlean
Online Published Date:
24 September 2021
Appeared in issue:
Vol 34 No2 - 14 September 2021
IFA barred after hiding DJ and hair salon income from HMRC and FCA
By Neasa MacErlean
Online Published Date:
29 September 2021
Appeared in issue:
Vol 34 No2 - 14 September 2021
Adviser jailed after seeking to avoid FCA restitution order by forging trust deed
By Neasa MacErlean
Online Published Date:
29 September 2021
Appeared in issue:
Vol 34 No2 - 14 September 2021
FCA to review rules to encourage long-term investment by DC pension sector
By Neasa MacErlean
Online Published Date:
29 September 2021
Appeared in issue:
Vol 34 No2 - 14 September 2021
FCA to review rules to encourage long-term investment by DC pension sector
By Neasa MacErlean
Online Published Date:
29 September 2021
Appeared in issue:
Vol 34 No 3 - 11 October 2021
FCA to allow synthetic LIBOR use in 2022 for ‘pool’ of sterling and yen legacy contracts
By Neasa MacErlean
Online Published Date:
30 September 2021
Appeared in issue:
Vol 34 No2 - 14 September 2021