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Showing 1 - 10 of 126 matches filtered by 'Asset management'

  • FCA sets out cryptoasset business registration and fee requirements

    16/10/2019
    On 15 October 2019, the Financial Conduct Authority (“FCA”) published consultation paper CP19/29: Recovery of costs of supervising cryptoasset businesses under the proposed anti-money laundering regulations: fee proposals (“CP19/29”).  
  • Online Platforms: "Walking" the line between legal and financial services compliance ( Part 5 of 5)

    19/08/2019
    Anti-money laundering, terrorist financing, and know your client obligations FCA-authorised firms are required, pursuant to the Money Laundering, Terrorist Financing and Transfer of Funds (Information on Payer) Regulations 2017 (“MLRs”), to implement anti-money laundering (“AML”) measures.  
  • THE FCA DIRECTORY

    14/03/2019
    On 8 March, the FCA published the long-awaited final rules on the proposed new Financial Services Directory (the “FS Directory”). The introduction of the FS Directory is expected to be welcomed by firms and consumers alike. Following the FCA’s consultation during the summer/autumn of 2018, the emphatic industry view is ...
  • Switzerland and United Kingdom sign Direct Insurance Agreement as the UK prepares to leave the EU

    30/01/2019
    The Swiss Confederation (Switzerland) and the United Kingdom (UK) on 24 January 2019 signed the Agreement between the United Kingdom and the Swiss Confederation on direct insurance other than life assurance (UK-Swiss Direct Insurance Agreement). The new UK-Swiss Direct Insurance Agreement replicates the terms of the existing agreement between Switzer-land ...
  • CMS Introduction to funds training

    08/10/2018
    Investment Funds is a highly specialist area, with a complex web of regulation and taxation, as well its own jargon, that can bewilder to those new to the industry. The CMS Funds Group’s ‘Introduction to Funds’ training programme is an ideal way of demystifying Investment Funds either for new joiners ...
  • Brexit update for financial services firms - week ending 20 July 2018

    23/07/2018
    The week in outline: Following the publication of the White Paper last week Her Majesty's Government’s preparations for Brexit continue. A number of draft Statutory Instruments (SIs) relating to financial services (FS) have been introduced under the European Union (Withdrawal) Act 2018 (see “other publications” below). Most notable was the ...
  • Brexit update for financial services firms - week ending 13 July 2018

    19/07/2018
    The week in outline: Her Majesty’s Government (HMG) published its long awaited White Paper ‘The future relationship between the United Kingdom and the European Union’ on July 12. In summary, and as expected, HMG announced a major policy change with a new bifurcated approach to the trading relationship: HMG now ...
  • Brexit update for financial services firms - week ending 29 June 2018

    03/07/2018
    The week in outline: The European Union (Withdrawal) Act 2018 (the ‘EU(W)Act’) received Royal Assent. HMT published an overview (document 2 below) which provides a summary of the legislative preparations on the UK side for a ‘no-deal’ scenario (under the EU(W)Act). These include the ‘no-deal scenario’ transitional measures which the ...
  • EU temporary measures on CFDs and binary options

    13/06/2018
    On 22 May 2018, the European Securities and Markets Authority (“ESMA”) adopted two decisions implementing temporary product intervention measures. These decisions restrict the marketing, distribution and sale of contracts for difference (“CFDs”) and binary options to retail clients in the European Union. These decisions only apply for a period of ...
  • European Commission consults on sustainable finance

    04/12/2017
    On 13 November 2017, the European Commission launched a public consultation on sustainable finance to assess how asset managers and institutional investors could take into consideration environmental, social and governance factors when making their decisions. The Commission believes it could help these actors to allocate capital more efficiently if they ...