Financial Services Regulation - challenges for the New Year
The Financial Services Regulatory team are hosting seminar event on 23 February 2017, exploring the challenges in the sector for the New Year.
The seminar will include topical regulatory issues as well as covering the following specific subjects:
- new product governance rules under MiFID II will have a fundamental impact on the distribution of a wide range of financial products and on the relationship between manufacturers and distributors. We will look at the consequences and how to plan for them.
- in November 2016 the FCA published an interim report under its Asset Management Market Study. The report contains recommendations which would have a radical impact on charging structures within authorised funds. The report also contains far reaching implications for intermediaries and the institutional asset management sector. We will examine the likely impact of the changes.
- as a result of MiFID II the FCA authorisation (part 4A) and variation of permission (VoP) forms and processes have changed. We will look at the implications for firms.
- the Senior Managers Regime will in 2018 be extended to all authorised firms including insurers, investment firms and asset managers. We will provide some practical guidance on implementation.
To RSVP for this event please click the accept button below or contact our Events Team.
News & Insights
FCA proposing to tighten up rules for loan-based crowdfunding platforms
Later this year, the FCA is due to publish its policy statement on the changes to the regulatory framework for crowdfunding platforms.
Financial Conduct Authority consults on increasing the award for the Financial Ombudsman Service
The Financial Conduct Authority (FCA) is consulting on increasing the award limit for the Financial Ombudsman Service (FOS).
Tackling the risks of the FinTech boom - AML considerations
While FinTech services like cryptoassets can create significant opportunities, they also pose considerable regulatory challenges.