MiFID II implementation is here. Are you fully prepared for the changes?

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Held to account

The competitive impact of enhanced senior management responsibilities in global financial services
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Bovill is an independent, specialist financial services regulatory consultancy with a global offering. We are committed to providing practical solutions and with offices in the UK, Asia and the Americas we can offer a globally integrated service.

Insights

FCA asks CEOs to ensure Prudential returns are compliant23 February 2018 / UK & EuropeAndrew Bailey, CEO of the FCA, has this week written to IFPRU and BIPRU investment firms requesting them to review their prudential reporting practices. This was as a result of the FCA discovering that large numbers of firms are submitting inaccurate and incomplete returns. So, if you are the CFO, expect questions from your CEO, challenge from your compliance departments and greater scrutiny from the FCA. 

Events

Singapore briefing – Navigating US regulations for non-US managers and advisers27 February 2018 / 1 Marina Boulevard27 February 2018 @ 8:45 am - 10:00 am - Many of our fund manager clients ask us which US regulations apply when they are marketing their funds in the US or raising funds from US investors. We realise that navigating an often complex foreign regulatory regime can be daunting. We have therefore asked our Chicago-based colleague, Ross Goffi, to deliver our February briefing on [...]

 

Bovill London briefing | CASS Audits – Lessons learnt and hotspots28 February 2018 / London28 February 2018 @ 12:00 am - Bovill briefing | CASS Audits - Lessons learnt and hotspots | London | Event date: Wednesday 28 February 2018 Two years on from the publication of the Financial Reporting Council standards on “Providing Assurance on Client Assets to the Financial Conduct Authority” and at a point where all firms will now have experienced at least [...]

Case studies

Skilled person review of branch of European investment bankUK & EuropeFollowing a recent FCA visit, the London Branch of a European Investment bank was instructed to appoint a skilled person to assess their financial crime systems and controls. Find out more.

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