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Training materials from our CPD events for clients operating in these sectors.
Asia FI and AM&IF CPD day materials
UK Autumn Business Legal Update CPD day materials
Submitted: 16 August 2017
This Oversight takes a brief look at the background and highlights key differences between the old and new regimes that asset managers should be aware of.
Submitted: 15 August 2017
A letter from the FCA, outlining how it expects certain MiFID2 requirements to be applied, signals a game-changing departure by the regulator, with potentially significant ramifications for the UK asset management industry.
Submitted: 11 August 2017
The Spanish Ministry of Economy, Industry and Competitiveness has published a preliminary draft law and draft Royal Decree implementing MiFID2 in Spain.
Submitted: 09 August 2017
Issue 114 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.
Last Reviewed: 04 August 2017 / Submitted: 19 June 2017
Foreign financial institutions (FFIs) with existing FFI agreements with the US Internal Revenue Service have been given an extended deadline until 24 October 2017 to renew those agreements.
Last Reviewed: 04 August 2017 / Submitted: 16 December 2014
A practical guide for HR to the new UK senior managers regime.
Submitted: 02 August 2017
The Q3 2017 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.
Submitted: 01 August 2017
The Q3 2017 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to asset managers and financial institutions operating in the UK for the period from 01 July 2017 to 30 September 2017.
Last Reviewed: 31 July 2017 / Submitted: 28 March 2013
This resource provides practical guidance to managers and funds in scope of the Directive.
Submitted: 26 July 2017
The Financial Conduct Authority (FCA) has, on 26 July 2017, published its consultation paper on the extension of SMCR to all FCA firms. We highlight the main implications of the proposed new regime.
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