MiFID

Portfolio reporting obligations

Clients must be informed when portfolio value falls by 10% or more. Who is responsible for reporting?

All is not as it seems.

Costs are under close scrutiny by the FCA. What do firms need to consider?

Firms are required to notify the FCA of changes to the management body.

The profile of ESG investments has increased significantly in recent months. Firms need to be consider how those fit into […]

The FCA has been busy writing letters in 2020, and it's still only February.

See what 2020 has in store.

Do your research and due diligence processes stack up in the face of PROD?

Do you provide a discretionary management service investing in shares on a regulated market?

All is not what it seems when considering the risk tolerance rating of different funds.