Financial Services Alerter - August 2019 developments
Issue 139 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.
(Submitted: 13 September 2019)
Working Relations August 2019
Our monthly round-up of the key employment law developments in the UK.
(Submitted: 4 September 2019)
Oversight September 2019 - New SFC requirements for client asset accounts with authorised institutions
This Oversight provides a regulatory overview of the treatment of client assets under the SFC Code of Conduct, the SFC's licensing regime and other related guidance and regulations, addresses a recent Circular published by the SFC regarding new measures to enhance the protection of client assets by intermediaries, and considers the practical implications of the Circular for fund managers and authorised institutions.
(Submitted: 3 September 2019)