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Welcome additional form of protection for financial institutions and their employees.
Stress on individual accountability and firms’ collective responsibility to avoid recurrence of “ethical drift”.
UCITS should look at counterparty risk in respect of the clearing members they use.
Scope to make it easier for intermediaries to finance stock acquisition and develop their own distribution systems.
Opportunities for European and US asset managers, depositaries and custodians.
Business standards and unfair contract terms guide among areas affected.
Retail finance round-up – June 2015: FOS consults on amendments DISP, BoE publishes statistical release; and more
Legal, regulatory and industry news for the retail finance sector.
With significant efficiencies being demanded by Government there is likely to be more pressure to consider the mutualisation of services.
Improvements are needed in due diligence and management...
Those submitting information to the Payment Systems Regulator must be careful to selectively mark sensitive information as confidential.
A change in market conditions/ environmental conditions for any business in almost any sector can lead to considerations – should the client proceed with construction or seek to cut its losses?
Financial Ombudsman Service publishes annual review; Wonga aims for reinvention in new payday lending ads; Woolsey v Payne; and more.
Retail finance roundup – May 2015: UK credit card transactions hit new record; misleading advertising; and more
Also: asset finance expands; EU calls for better banking models; and more.
Reporting and the calculation of leverage are among new Q&As in the European Securities and Markets Authority’s paper.
Also: proposals on the movement of capital and freedom of payments.
The new tax-free allowance for interest distributions will change the savings landscape, and other developments.
Aspects of MiFID II of particular interest to asset managers including: commissionss; phone call recordings; costs disclosure; client categorisation; and more.
Certain sums that arise to investment fund managers for their services will be charged to income tax.
The FCA’s discussion paper highlights certain aspects of MiFID II which will be of particular interest to asset managers as they prepare for MiFID II implementation.
Kathryn Coyne and James Pickavance discuss the practice of paying monies on account in respect of disputed items, the risks of doing this and how these risks can be minimised.