The CMA has proposed a number of reforms to the investment consultancy and fiduciary management sector after identifying a range of competition concerns.
Legal & Regulation
Stephen Cohen, Head of iShares EMEA at BlackRock, has commented on the position of ETFs six months into MiFID II, examining what has changed so far.
Recent research from TeleWare reveals that just 60 per cent of employees in financial services firms have suitable processes and technology in place to capture, record and consequently retrieve real-time business communications. This means 40 per cent of firms are risking non-compliance with Article 16 of MiFID II.
New legislation designed to strengthen Jersey’s capabilities to fight financial crime was introduced last week.
A financial services Alliance with a combined global membership of 200,000 is challenging the FCA to do more to support professionalism in UK financial services.
Founded in 2002, the Chartered Alternative Investment Analyst Association (CAIA) has gone from strength to strength in the alternative investment education arena.
William Kelly (pictured), CAIA CEO, joined in 2014 and declares that, while it's been an interesting run, the value proposition of alternatives is alive and well.
Hector McNeil (pictured), co-Founder and co-CEO, HANetf presents his most recent commentary, arguing: The Case for Non-Transparent Active ETFs.
The Pension Scams Industry Group (PSIG), a voluntary body set up to combat pension scams through the publication of good practice in due diligence for trustees, providers and administrators, has launched Version 2.0 of ‘Combating Pension Scams - A Code of Good Practice’.
Regulations proposed by the FCA, as well as added pressure from measures introduced by ESMA, designed to provide better protection to retail investors in CFD trading will force dozens of brokers out of business.
UK taxpayers who fail to disclose offshore income or gains, either by failing to notify HMRC of their chargeability to UK tax, failing to deliver a tax return or by submission of an incorrect tax return will face imprisonment and swingeing penalties says leading accounting, tax and advisory practice Blick Rothenberg.