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Industry Regulator

What you should be doing about Conduct Risk?

The Alternative Investment Management Association (AIMA) published the journal article ‘What is conduct risk and what should you do about it?’

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Industry Regulator

Bank of England announces the fair and effective market review report

The Bank of England yesterday released its fair and effective market review report. This report identifies a number of policy proposals that enhance the fairness of FICC (wholesale Fixed Income, Currency and Commodities) markets while also boosting...

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Industry Regulator

FCA CIO talks about SaaS and Salesforce

In a recent interview with www.cio.co.uk (full article here), Gareth Lewis, CIO at the FCA talks about the want to analyse all the data he can in order to ensure regulated businesses are not unfairly treating UK consumers.

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Industry Regulator

AIFMD: All Systems Go?

This week saw the end of the transitional period of AIFMD (Alternative Investment Fund Management Directive). As of July 22nd all Alternative Investment Fund Managers (AIFMs) within the EU fall under the regulation, which was first introduced in 2013....

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Industry Regulator

FATCA registration deadline extended to May 5th

Financial Institutions under the remit of FATCA have been issued a short extension to register their funds, assets and accounts with the US Internal Revenue Service (IRS). Initially given until the 25th April, Foreign Financial Institutions (FFIs) now...

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Industry Regulator

Regulation: 3 Articles on Future Proofing your Organisation in 2014

2014 looks set to to see further regulatory announcements within the Financial Services industries; the ripples still being felt from the introduction of the Volcker rule in the US, and proposals to implement it across the EU. The capital requirements...

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