Blog

How effective is your firm at KYC best practice? Is this an area for improvement within your organisational AML framework?

8th January 2019 - Blog Posts

KYC, or Know Your Customer, has taken an increased prominence in the financial services industry over the last few years. KYC is a crucial component of an effective Anti-Money Laundering framework and as AML regulations have tightened up since 2017, it more important than ever that firms apply effective KYC best practices. What are KYC … Read more

Regulatory Update – Amendments to PRIIPs Regulation

11th December 2018 - Blog Posts - Regulatory Updates

We are here to help you reduce risk and stay compliant. In our latest Regulatory Update, we review the Joint Consultation Paper JC 2018 produced by European Supervisory Authorities (ESAs) on the Amendments to PRIIPs KIDs Regulation. The ESAs have drafted a consultation paper welcoming comments from the fund industry regarding a set of possible changes to … Read more

Key things you need to know about FCA authorisation

4th December 2018 - Blog Posts

To carry out regulated financial activities in the UK, including dealing in investments and advising on investments, fund managers must either be directly authorised by the FCA or become an appointed representative. If you decide that FCA authorisation is the best route for your firm, there are a number of considerations to make your application successful. What you … Read more

Crypto Assets Risks and Regulation

17th October 2018 - Blog Posts

The Treasury Select Committee has issued a detailed report on crypto assets, following an inquiry into the risks of cryptocurrencies, which includes recommendations for regulatory measures. Read the summary…

What are AIFM solutions and why are they used?

1st October 2018 - Blog Posts

Since the AIFMD directive came into force in 2013, investment and fund managers have faced a hefty compliance burden to become authorised. In this blog we explain what AIFM solutions are and why they could be the best option for many firms… Read more…

Key facts you need to know about PRIIPs KIDs

7th September 2018 - Blog Posts - Knowledge Library

New regulations on Packaged Retail Investment and Insurance Products (PRIIPs) were introduced by the EC in January 2018. We cover the FAQs you need to know about PRIIPs KIDs definition, regulation and liabilities… Read more…