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At a glance The FCA has published a Dear CEO letter setting out its asset management supervisory strategy. The FCA’s key priorities are...
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At a glance We have identified some key considerations for asset managers as they implement the Consumer Duty (the “Duty”) across the...
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At a glance The Financial Stability Board (FSB) has published a progress report on enhancing the resilience of non-bank financial...
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At a Glance Boards of investment managers in scope of the FCA’s Consumer Duty (”the Duty”) are expected to sign off on implementation...
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The Financial Conduct Authority has published its final rules for its new Consumer Duty. The Duty raises the standards of consumer...
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At a glance The final rules will need to be implemented by the end of July 2023 giving firms three more months than previously...
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At a Glance MiFID II suitability rules are being amended to require investment advisers and investment managers to obtain retail clients’...
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Target audience: CROs, CCOs, COOs, Heads of operational resilience in UK investment management firms At a glance: Since the UK...