We are hosting another round table for senior CASS professionals to discuss client assets with peers under the Chatham House rules and it’d be great if you could attend and contribute. The details are as follows: Date: Tuesday 16th May Time: 5pm – 6.30pm Venue: Bovill Limited, 82 Blackfriars Road, London, SE1 8HA Drinks and nibbles […]
Understandably, we’ve seen lots of focus on the big headline MiFID II topics like transaction reporting, best execution, aggregation of costs and charges and product governance. But we reckon it’s time to focus on some of the other elements that haven’t grabbed so many headlines, but that are nevertheless posing challenges for the firms we’ve recently been supporting with MiFID II implementation.
All organisations agree that embedding good governance is a key part of their agenda. Despite this consensus, ‘good governance’ is an elusive concept, meaning different things to different firms. This briefing focused on what the FCA looks for in a firm’s governance arrangements. We paid particular attention to how you can demonstrate good governance, to […]
Some of the most far-reaching changes under MiFID II concern market structure, with a new venue type introduced (OTF), an overhaul and extension of the regime for Systematic Internalisers (SI), and tough new rules around High-Frequency Trading (HFT). On top of this, transparency is a core theme of MiFID II and consequently, we will see […]
The FCA appears to be making headway with authorising peer-to-peer lending platforms but with many firms still not through the authorisation process, it is by no means the end of the journey. This is a specific forum for firms to discuss P2P issues with peers under the Chatham House rules. Fox Williams and Bovill are holding this round table and we would be delighted if you can join us.
With a continued regulatory focus on financial crime for 2017, this briefing will take a look at the financial crime framework. We are paying particular attention to the areas of governance, risk appetite, management information and due diligence.
If payments enable the movement of money, and money makes the world go round, payment services are fundamental to contemporary life and business.
The payments service sector is experiencing an unprecedented amount of evolution, disruption and regulatory scrutiny. You are cordially invited to join us for a whistle-stop tour of payment services compliance matters looking at the present day, known near term changes and future potential developments.
Date: Wednesday 7th December 2016
Venue: Bovill Limited, 82 Blackfriars Road, London, SE1 8HA
During this briefing we will cover:
- The UK regulatory framework for payments institutions and systems
- The main regulatory obligations for UK payment institutions
- Recent developments in the payments services arena
- Regulatory developments impacting payment services
- Cross-border payments market
With a lens on the real estate investment fund sector in particular, we are holding a round table for Money Laundering reporting officers and others engaged with investor and client due diligence in real estate sales and purchases. We would be delighted if you are able to join us.
Despite the delay of MiFID II, you cannot forget about it. In fact, as we see the UK’s proposals, (and its strong message that compliance is essential despite Brexit) and the final technical standards, there’s no excuse for inaction.
We are hosting a roundtable for Money Laundering Reporting Officer’s and Anti-Money Laundering professionals for wealth firms. This is a specific forum for firms to discuss financial crime with peers under the Chatham House rule.