Regulators across the globe are intensifying their focus on enforcing the regulation of the asset management industry. Over the last twelve months, the global Financial Stability Board, the International Monetary Fund, the US...more
4/10/2015
/ Asset Management ,
Bank of England ,
Dawn Raids ,
Document Productions ,
Duty to Cooperate ,
Enforcement Actions ,
Financial Conduct Authority (FCA) ,
FSB ,
FSMA ,
Government Investigations ,
Request For Information ,
UK
This year, the UK Financial Conduct Authority (FCA) has placed an increased emphasis on whistleblowing activity, both in relation to whistleblowing within authorised firms and the process of whistleblowing to the regulator....more
The Financial Conduct Authority has now completed its thematic review of Anti-Money Laundering and Anti-Bribery and Corruption Systems and Controls: Asset Management and Platform Firms (TR13/9). The review of 22 wealth and...more
In This Issue:
- UK: New Regulators; New Powers
- So You Want to be a U.S. Mutual Fund Manager
- The New German Rules on High Frequency Trading
- Marketing and Distributing Your Fund in the Middle East:...more
The UK Financial Services Authority (“FSA”) was abolished on 1 April 2013 and replaced by three new regulators. The Financial Services Act 2012 introduced the Financial Conduct Authority (“FCA”), the Prudential Regulatory...more