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"UK Regulators Begin the Shake-Up of Asset Managers’ Use of Dealing Commission"

On 25 November 2013, the U.K.’s Financial Conduct Authority (the FCA) issued a consultation paper proposing new rules to clarify the circumstances in which U.K. asset managers can currently pay dealing commission (CP13/17)....more

12/2/2013 - Asset Management Broker-Dealer FCA Sales Commissions UK

"UK Provides Marketing Grace Period for Alternative Fund Managers"

The U.K. Treasury recently published its response to its January 2013 consultation on transposing the EU Alternative Investment Fund Managers Directive (AIFMD). A revised draft version of the Alternative Investment Fund...more

6/25/2013 - AIFM AIFMD Disclosure Requirements EEA ESMA EU Financial Conduct Authority Marketing Private Equity Reporting Requirements

"UK Regulators to be Given Power to Break Up UK Banks"

The U.K. Government recently published the Financial Services (Banking) Reform Bill (the “Bill”) which implements the key recommendations of the U.K.’s Independent Commission on Banking (the “ICB”). The ICB was established in...more

3/19/2013 - EU Financial Conduct Authority Investment Funds Prudential Regulation Authority Ring-Fencing Small Credit Institutions

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