EU withdrawal – end of transition
Talk about tempting fate! We pondered whether to publish this article now or wait just a little longer. In favour…
MiFID
Aggregated costs and legacy trail commission
"Aggregated costs disclosure". A phrase that, even nearly three years after it became a requirement under MiFIDII, probably still sends…
EU Withdrawal – Transitional period for new rules
EU Withdrawal - transition period for new FCA rules to applyThe FCA has published an updated version of the FCA…
PROD – negative target market
All the PROD governance rules can be summarised as identifying the type of investor that a particular product was designed…
ESG investing – new rules coming along soon
Recently, it seems that hardly a week goes by without there being some financial media article about Environmental, Social and…
Recording calls and meetings
We wrote in our last Newsletter about call recording and the FCA's view on any issues that might arise during…
Recording calls and meetings
We wrote in our last Newsletter about call recording and the FCA's view on any issues that might arise during…
Call recording issues
Call recording was one of many obligations that arrived with MiFID II in January 2018. We wrote about this topic…
Clients – according to PROD
In a previous article, we gave an overview of the target market aspects of the PROD rules that came in…
Acquiring or selling a business
It seems that barely a week goes by without yet another acquisition or two being reported in the financial media.…