News

Alternative Investment Fund Managers (AIFMs) and MiFID firms need to consider the impact that Brexit will have on their business in the light of recent opinion issued by ESMA to relevant EU national regulators.

Changes to Guidance issued by Joint Money Laundering Steering Group

This new Code is relevant to all FX market participants, whether buy-side or sell-side, regardless of ‘product’, including E-Trading Platforms (page 4 provides a guide to the types of entities to which the Code will be relevant – ranging from the treasury operations of family offices to hedge funds and “financial institutions”).

Reminder of upcoming PRIIPs implementation

Alternative Investment Fund Managers (AIFMs) and MiFID firms need to consider the impact that Brexit will have on their business in the light of recent opinion issued by ESMA to relevant EU national regulators.

A useful summary of the Article 50 situation “in less than 500 words” prepared by Chris Finney of Cooley LLP

FCA raises concerns over inappropriate influence of introducers over authorised firms’ investment choices

FCA publishes Consultation Paper CP16/24 reviewing qualifications

Alternative Investment Fund Managers (AIFMs) and MiFID firms need to consider the impact that Brexit will have on their business in the light of recent opinion issued by ESMA to relevant EU national regulators.

FCA publishes Consultation Paper CP16/24 reviewing qualifications

European Parliament rejects proposed PRIIPs Regulatory Technical Standards

Following on from PRIIPs (see previous article), ESMA has published an updated version of its Q&As (2016/1165) concerning the “provision of CFDs and other speculative products to retail investors under MiFID”.

Alternative Investment Fund Managers (AIFMs) and MiFID firms need to consider the impact that Brexit will have on their business in the light of recent opinion issued by ESMA to relevant EU national regulators.

In a move which reflects a lot of recent predictions, one Japanese insurance company has replaced a number of claims processing staff with an artificial intelligence system.

The ramifications of sending an email to the wrong person are sometimes far worse than simply embarrassing.

A useful summary of the Article 50 situation “in less than 500 words” prepared by Chris Finney of Cooley LLP