FCA fines retail investment management firm for failings relating to fund management

Sign in or register to continue reading.

Gain access to the latest news from The Lawyer.com, our jobs board, career insight and much more.

Register now to The Lawyer to access our latest news stories, read selected briefings from key firms and gain essential careers insight to help you make the most of your current and future roles.

Contact Us: if you have any questions regarding your subscription, call us on +44 (0)20 7292 3716 or email us at customerservices@thelawyer.com

Register now

Having problems?

Contact us on +44 (0)20 7292 3723 | email: customerservices@thelawyer.com

If you are looking for our Jobs site, please click here 

Latest Briefings

Update on EC proposals to amend UCITS, AIFMD, EuVECA and ELTIF to facilitate cross-border distribution

On 12 March 2018, the European Commission issued a proposal for a new regulation (the Regulation) and a new directive (the Directive) concerning the cross-border distribution of collective investment funds amending inter alia UCITS (the UCITS Directive), AIFMD, EuVECA and EuSEF (the Proposals). Please find below a summary of the main changes under the Proposals. What will change under the Proposals?

MEES: What information is required to register an exemption?

By Maria Connolly Since 1 April, it has been unlawful for a landlord to let a property with an EPC rating of below E, unless an exemption has been registered on the PRS Exemptions Register. The government has released guidance on the evidence required to register an exemption on the PRS Exemptions Register…

Getting the Deal Through: Fund Management 2018, Luxembourg edition

Fund Management traces the regulatory and legislative obligations facing fund managers balancing the need to maximise investment returns whilst also ensuring adequate investor protections in an increasingly challenging regulatory environment. Topics are written by leading experts and include: authorities responsible for fund regulation; licensing processes; territorial scope of regulation; required authorisations of fund marketing activities; […]

Financial Regulatory News Updates – April 2018

The Financial Regulatory News Updates: an overview in which Loyens & Loeff’s Banking and Finance Practice Group highlights recent legislative developments and publications of supervisory authorities in the financial markets…

Dutch coal exit proposed by new draft bill

On 19 May 2018 the Minister of Economic Affairs and Climate Policy (hereinafter: ‘the Minister’) published its draft bill (in Dutch only) on the Prohibition of the use of coal by power producers for public consultation (hereinafter: ‘the draft bill’). The basis of the draft bill derives from international (the Paris Agreement in 2015) and national (the […]

Recommended

London
9

Cooley closes in on UK launch as it circles Edwards Wildman’s City base

Facebook adviser Cooley is believed to be in talks with a number of Edwards Wildman’s London partners in preparation for a City launch.  It is understood that a group of Edwards Wildman partners are talking to Cooley about the launch of a London office, after the Silicon Valley firm hired a specialist consultant to find […]

Carey Olsen Guernsey and Jersey lawyers feature in the Citywealth Leaders List 2014

Thirteen Carey Olsen lawyers have been named in the ninth annual Citywealth Leaders List 2014. Eight Carey Olsen lawyers in Guernsey and five in Jersey have been recognised in the list compiled by Citywealth. It is an independent list of leading lawyers, accountants, trustees and fund managers in private wealth management in the UK, Channel […]

houses

Freshfields and Slaughters land key roles on Zoopla’s £919m IPO

A raft of firms including Freshfields Bruckhaus Deringer and Slaughter and May have advised on Zoopla Property Group’s IPO. Freshfields took the key role for the property website after winning a competitive pitch process, marking a new client for the magic circle firm.  As part of the transaction, Daily Mail General Trust (DMGT) which is […]

Financial services

LK Shields Solicitors advises domestic and international investment banks, asset managers and multinationals on regulated, domestic and unregulated funding structures in Ireland. Click here for more information.

Register now to The Lawyer to access our latest news stories, read selected briefings from key firms and gain essential careers insight to help you make the most of your current and future roles.

Contact Us: if you have any questions regarding your subscription, call us on +44 (0)20 7292 3716 or email us at customerservices@thelawyer.com

Register now

Having problems?

Contact us on +44 (0)20 7292 3723 | email: customerservices@thelawyer.com

If you are looking for our Jobs site, please click here