regulation
FCA To Consult On Amending Regimes For Alternative Fund Managers And Retail Funds
Markets - Published date: .
The Financial Conduct Authority has set out plans to consult on amending and re-evaluating the regimes governing alter... Read more
Woodford Investors To Vote In Single Class As Scheme Of Arrangement Vote Delayed
Markets - Published date: .
Investors in the former Woodford Equity Income fund will vote on the proposed scheme of arrangement regarding Link Fun... Read more
Ex-Barclays CEO James Staley Fined And Banned By FCA Over Ties To Jeffrey Epstein
Markets - Published date: .
The Financial Conduct Authority has fined and banned James Staley, former CEO of Barclays, from the financial services... Read more
FCA Censures London Capital & Finance Over Mini-bond Promotion
Markets - Published date: .
Collapsed provider London Capital & Finance has been censured by the Financial Conduct Authority for misleading an... Read more
Amazon And Microsoft Supremacy In UK Cloud Market Faces Probe By Competition Watchdog
Markets - Published date: .
Microsoft and Amazon’s controlling role in the UK cloud market is set to face greater scrutiny, as the sector has be... Read more
FCA Actively Monitors Risks Of Private Markets To Financial Stability
Markets - Published date: .
The Financial Conduct Authority is monitoring the build-up of leverage in private markets as part of its joint evaluat... Read more
FCA Confirms Link Fund Solutions Investigation Will Be Published If Investors Accept Woodford Deal
Markets - Published date: .
The Financial Conduct Authority has confirmed it will publish “full and detailed” findings of its investigation in... Read more
'No Intention' Of Retrospective Action In FCA's Proposed Non-financial Misconduct Rules
Markets - Published date: .
The Financial Conduct Authority’s consultation paper looking to codify that non-financial misconduct will amount to ... Read more
FCA Urges Firms Offering High-risk Investments To Retail Investors To Review Promotion Practices
Markets - Published date: .
The Financial Conduct Authority has urged firms offering high-risk investments to retail investors to review their fin... Read more
FCA To Open Review Of Private Markets Valuations - Reports
Markets - Published date: .
The Financial Conduct Authority is reportedly preparing to launch a review into private markets valuations by the end ... Read more
Quilter Investors' Marisol Hernandez: Trusting ESG Ratings Data To Fix A Problematic System
Markets - Published date: .
As the interest in environmental, governance and social factors has surged over the last decade, so too has the number... Read more
Financial Services Regulatory Pressure Grows With ESG Rules The Main Culprit
Markets - Published date: .
Pressure on the financial services sector continues to increase as ESG and sustainable finance requirements up the ant... Read more
US SEC Unveils ESG Labelling Rules For Mutual Funds
Markets - Published date: .
The US Securities and Exchange Commission has published enhanced rules to clamp down on the misleading labelling of ES... Read more
EU Review Of SFDR 'welcomed' By Industry Despite Potential 'frustration'
Markets - Published date: .
The European Commission’s widespread review of SFDR has been embraced by the industry, despite signs of irritation a... Read more
Deep Dive: Consumer Duty Is 'forcing' DFMs And Asset Managers To Justify Value And Costs
Markets - Published date: .
The Consumer Duty's implementation has meant all players in the distribution supply chain have had to review and adapt... Read more
EU Regulators 'look To Future' Of SFDR Application In Financial Services With In-depth Questionnaire
Markets - Published date: .
The European Commission has opened an extensive review into how SFDR has been implemented in financial services since ... Read more
Why SFDR Reporting On Adverse Impact Is A Win-win
Markets - Published date: .
Investing in ‘sustainable’ investments or those deemed to be ESG-screened is not a one-way street. Read more
US Private Fund Industry Bodies Sue SEC Over New Disclosure Rules
Markets - Published date: .
A coalition of six US trade bodies representing hedge funds and private markets firms have filed a suit against the Se... Read more
US Court Rules SEC Improperly Rejected Bitcoin Spot ETF
Markets - Published date: .
A DC court has ruled that the US Securities and Exchange Commission improperly rejected an attempt by crypto asset man... Read more
Entire RICS Standards And Regulation Board Quits En Masse
Markets - Published date: .
All members of the Royal Institution of Chartered Surveyors standards and regulation board (SRB) have tendered their r... Read more
