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Access to the Financial Ombudsman Service for SMEs?
Financial services companies may face more disputes with SMEs.
Product governance under MiFID II – a UK perspective
Jonathan Bayliss explores product governance under MiFID II, from a UK perspective
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?
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.
The Regulatory References Regime
The regulatory references regime comes in force on 7 March 2017.
Newsletter - Financial Services Institutions Briefing
Welcome to the fourth edition of our Financial Services Institutions Briefing.
Key implications of MiFID 2
MiFID 2 has been on our radar since 2011, but since implementation was delayed, many firms have placed their preparations on hold.