New financial promotions regime on the stocks in UK
Chris Hamblin, 07 August 2020
HM Treasury is proposing to open a 'regulatory gateway' through which authorised firms can approve the financial promotions of unauthorised firms.
HM Treasury is proposing to open a 'regulatory gateway' through which authorised firms can approve the financial promotions of unauthorised firms.
Harbour Trust & Investment Management Company of Michigan City in Indiana has added Martha Wargo Oprea to its roster. She will serve as its Chief Compliance Officer and also as one of its vice presidents.
ComplianceAsia Consulting, a compliance consultancy in Singapore, has joined forces with the Investment Management Association of Singapore (IMAS) to create content for iLearn, an online portal which centralises curated training modules for asset managers.
The Australian Securities and Investments Commission has updated its rules that govern the way in which financial firms deal with complaints from consumers in line with their internal dispute resolution (IDR) procedures, which the regulator obliges them to have in place.
HM Treasury is proposing to open a 'regulatory gateway' through which authorised firms can approve the financial promotions of unauthorised firms. ...
In the months of June and July, the European Banking Authority, the European Securities and Markets Authority and the European Insurance and Occupational Pensions Authority made several pronouncements on the Cor...
Many private banks that use the outgoing London Interbank Offered Rate do not trade on exchanges. Even in derivatives LIBOR is used extensively in the OTC market which is not exchange-based and whose transaction...
All investment managers, fund managers and firms that promote and manage UCITS funds and other retail products are trying, in accordance with the PRIIPS Regulation, to measure and disclose the implicit costs of ...
The badly-performing Serious Fraud Office requires a makeover, but instead is moving in the direction of reform at a leisurely pace. Nevertheless, its demise seems unlikely and it is at least planning to improve...
Harbour Trust & Investment Management Company of Michigan City in Indiana has added Martha Wargo Oprea to its roster. She will serve as its Chief Compliance Officer and also as one of its vice presidents....
ComplianceAsia Consulting, a compliance consultancy in Singapore, has joined forces with the Investment Management Association of Singapore (IMAS) to create content for iLearn, an online portal which centralises...
The Australian Securities and Investments Commission has updated its rules that govern the way in which financial firms deal with complaints from consumers in line with their internal dispute resolution (IDR) pr...
Investment management firms in the UK are generally doing well in the lead-up to the expected cessation of the London Interbank Offered Rate, the rate at which banks lend to each other, at the end of 2021. ...
Regulatory divergence between the European Union and the United Kingdom seems to be on the cards with HM Treasury intending to make some changes to the UK's onshored PRIIPs Regulation. ...