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Newsletter - Financial Services Institutions Briefing - April 2018
The latest edition of our Financial Services Institutions Briefing.
Toolkit for the new Senior Managers and Certification Regime
Vanessa Walters sets out some of the key principles of the regime and how FCA regulated firms can best prepare for it.
New EU Regulation on Crowdfunding
On 8 March 2018, a new proposal for an EU Regulation has been issued, in order to create a European Crowdfunding Services Business.
Transatlantic FinTech cooperation
Having spent years building a cluster of FinTech firms, London is now focusing more on its network.
November - Newsletter - Financial Services Institutions Briefing
Welcome to the latest edition of our Financial Services Institutions Briefing.
The countdown to MiFID II for Discretionary Managers
Christmas is soon upon us, but more unsettling for those in the FS sector is that MiFID II comes into effect in around 10 weeks’ time.
FinTech funding: when to get regulated
Venture investment in FinTech in the first half of 2017 hit $8.4 billion, but are FinTechs ensuring that they are sufficiently regulated?
SMCR extension to all FCA firms
The SMCR took effect for banks in March 2016 and will be extended to the remaining FCA firms by the end of 2018.
Financial Conduct Authority Thematic Review – Meeting Investors’ expectations
The FCA has reported on its thematic review , considering how firms ensure they manage funds and segregated mandates as they say they will.