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Insights

MiFID II – 100 days to go18 September 2017 / UK & Europe
Focusing on MiFID II? Perhaps you should be more concerned about suitability…13 September 2017 / UK & Europe
The UK Senior Managers & Certification Regime – what does it mean for international firms with a UK presence?13 September 2017 / Asia
MiFID II implications for US financial firms30 August 2017 / Americas

Events

Client Assets Round Table for investment firms and banks10 October 2017 / LondonWe’re hosting another roundtable for senior CASS professionals to discuss current client assets issues with peers. As always, the roundtable will be run under the Chatham House rules and it’d be great if you could attend and contribute.

 

New capital requirements for investment firms19 October 2017 / LondonIn 2018 there will be changes to investment firms capital regime and for some firms this could mean an increase in capital rather than the simplification most are expecting. The prudential regime for investment firms has grown over a number of years into a highly complex framework. Since this framework was primarily designed for banks, it meant that for investment firms this introduced an excessive amount of complexity.

Case studies

Engagement with the Corporate Compliance Monitor overseeing a global bank’s Deferred Prosecution AgreementGlobalAs part of a Deferred Prosecution Agreement (DPA) with the US Department of Justice (DoJ), a global bank was fined nearly $2 billion due to AML & Sanctions violations. Find out how Bovill helped.

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