InVest: developments affecting banks, wealth managers, brokers and funds — August 2012
This month’s round-up of developments affecting banks, wealth managers, brokers and funds sees: new government proposals for consumer rights; an EBA opinion on the shadow banking green paper; developments relating to LIBOR; and final texts adopted relating to EMIR, PRIPs, UCITS V and MiFID.
The FSA has published a website containing a regulatory round-up for small firms. This includes information relating to:
- attempted fraud against brokers
- the establishment of the Financial Conduct Authority (FCA) and Prudential Regulatory Authority (PRA); complaints handling; guidance on independent and restricted advice; a new UCIS website, and
- investment quality of advice processes…
If you are registered and logged in to the site, click on the link below to read the rest of the Addleshaw Goddard briefing. If not, please register or sign in with your details below.
News from Addleshaw Goddard
News from The Lawyer
Briefings from Addleshaw Goddard
Addleshaw Goddard has released the 16 October 2014 issue of its Data Issues Roundup, which provides a weekly round-up of data issues.
This round-up includes costs and unreasonable refusals to engage in ADR and four recent cases considering the refusal by one party to engage in ADR.
Analysis from The Lawyer
Which firms are cutting it in this era of slimline rosters, and who are the GC new brooms making clean sweeps? The Lawyer can reveal all
Could Slater & Gordon achieve its stated aim of becoming a top consumer brand by acquiring Pannone?