Addleshaw Goddard

UK 200 2014 position: 22

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…

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