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Enviado: 13 December 2017
Watch our recent webinar on demand. Gain a practical overview of the duty of responsibility under SMCR, including by reference to existing guidance from the FCA as well as guidance on the senior managers Conduct Rules.
Última revisión: 12 December 2017 / Enviado: 25 October 2017
It’s crunch time for MiFID2 and we're here to help you with your final preparations through our series of webinars. Access the webinar recording on MiFID2: Brexit.
Enviado: 06 December 2017
View this webinar on demand and download the slides now. We take a look at SMCR Conduct Rules and what firms should do now in preparation for these.
Enviado: 29 November 2017
View our recent SMCR webinar and download the slides now. This session covered the categories of staff which fall within the ambit of the certification regime under the draft rules, identifying some of the obvious and less obvious categories including your CF30 customer facing function and their managers. It also discusses the steps firms should take now to prepare for certification and who should be involved in that process (including relevant comments for insurers).
Enviado: 24 November 2017
Transactions do not necessarily all turn into a success story. And if they happen to fail, management is frequently asked uncomfortable questions.
Consideration of the new rules that alter the timing of information provided in connection with an equity IPO process and tighten the guidence around when analysts can participate in discussions with a potential issuer pre-mandate stage and which take effect on 01 July 2018.
A summary of the Listing Rule changes which take effect on 01 January 2018, most of which are technical enhancements rather than fundamental changes and of the topics the FCA has decided to give further consideration to.
Enviado: 22 November 2017
Download the slides and watch our recent webinar on demand. This session had a particular focus on tricky issues such as extraterritoriality, how to manage your existing SIF population and statements of responsibility. It also covered the duty of responsibility and how to take reasonable steps, and how to create clear reporting lines. You will also receive a helpful reminder of the relevant provisions in the draft rules (including relevant comments for insurers).
Última revisión: 17 November 2017 / Enviado: 15 February 2017
The new statutory duty on large companies and LLPs to report on their payment practices and performance every six months applies to financial years starting on or after 06 April 2017.
Enviado: 15 November 2017
Hong Kong incorporated companies will soon be required to maintain a register of "persons who have significant control"
Podcast 597: The Singapore Variable Capital Company (S-VACC)
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Londres 19 December 2017
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