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Upskilling compliance, trust in AI and enforcement discussed at roundtable
Compliance professionals wrestled with current challenges at the latest Hedge Funds Global Relay event in London.
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What the new payment options for investment research mean
FCA says new rules will make it easier to buy insight and analysis across borders. We spoke to Seung Earm from Ibex Compliance for the industry view.
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FCA v BlueCrest Capital Management: Implications for regulated firms
Court of Appeal addresses the scope of the FCA’s powers under FSMA to impose redress requirements on firms and the jurisdiction of the Upper Tribunal.
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Crossing borders – top tips for navigating UK and US compliance
How to comply with compliance rules on both sides of the Atlantic without being penalised.
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FCA data clarifies pitfalls for asset management authorizations
The UK regulator recently published a list of common errors it observed from asset management firms applying for authorization or variation of permission.
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ESMA’s guidelines on funds’ names will apply from November 21, 2024
The ESMA guidelines aim to enhance transparency and investor protection by regulating the use of ESG and sustainability-related terms in fund names.
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FCA finalizes changes to rules on Investment Research
Despite some adjustments to the proposed guardrails, the FCA has largely retained its original approach.
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FCA takes Bluecrest redress scheme case back to court after tribunal rebuke
Regulator argues judges made errors in deciding to block its plans.