Governance – what does good look like?
March 21, 2017Governance – what does good look like?

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 will focus on what the FCA looks for in a firm’s governance arrangements. We will pay particular attention to how you can demonstrate good governance, to both your Board and to the regulator.

Register to attend

During this briefing we will cover:

  • The importance of clear governance arrangements
  • Principles of good governance
  • Practical ways to evidence good governance
  • Changes you can make now to prepare for the extension of the Senior Managers & Certification Regime

We hope that you will be able to attend this thought provoking briefing. The details are as follows:

Date:       Tuesday 21st March 2017
Time:      8am and 5pm (1 hour CPD)
Venue:    Bovill Limited, 82 Blackfriars Road, London, SE1 8HA

Which MiFID II acronym will catch you out - OTF, SI, HFT or APA?
February 23, 2017Which MiFID II acronym will catch you out – OTF, SI, HFT or APA?

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 Approved Publication Arrangements (APA) providing trade reporting services to investment firms.

Register to attend

During this briefing we will cover:

  • The new OTF venue type, and how it differs from MTFs
  • The details of the extended SI regime, including SI thresholds
  • Our perspective on Algorithmic and High-Frequency Trading
  • The post-trade transparency regime, and the emerging APA market
  • A discussion of some of your strategic options, if you fear you may be caught by the market structure reforms.

We hope that you will be able to attend this briefing to uncover some key MiFID II markets themes. The details are as follows:

Date:       Thursday 23rd February 2017
Time:      8am and 5pm (1 hour CPD)
Venue:    Bovill Limited, 82 Blackfriars Road, London, SE1 8HA

Peer to Peer Round Table
February 1, 2017Peer to Peer Round Table

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.

New year’s evolution: Enhance and adapt your financial crime framework in 2017
January 25, 2017 - January 26, 2017New year’s evolution: Enhance and adapt your financial crime framework in 2017

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.

Payments regulation evolution: What do I need to know?
December 7, 2016Payments regulation evolution: What do I need to know?

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
Time:      5pm
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
Anti Money Laundering Round Table for the Real Estate Fund Sector
November 9, 2016Anti Money Laundering Round Table for the Real Estate Fund Sector

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.

MiFID II: preparation is key
October 20, 2016MiFID II: preparation is key

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.

MLRO roundtable for wealth firms
October 5, 2016MLRO roundtable for wealth firms

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.

Marketing Funds: Raising capital in the US and Singapore
September 29, 2016Marketing Funds: Raising capital in the US and Singapore

For many UK fund managers, raising capital from investors outside the EU is both attractive and daunting. While access to new markets can boost AUM dramatically, compliance with marketing restrictions and reporting obligations of an unknown regulator in a foreign country can be enough to put many firms off. In this briefing, we will look at the options for marketing unregulated funds in the US and Singapore and provide practical insights from our recent experiences. We will focus on institutional and sophisticated investors.

Manchester Briefing – Evidencing Suitability: Why are firms still not meeting the regulator’s expectations?
September 27, 2016Manchester Briefing – Evidencing Suitability: Why are firms still not meeting the regulator’s expectations?

It’s been on the agenda for ages, and yet suitability remains the FCA’s over-riding concern in the Wealth Management and Financial Advice sectors. We’re now five years on from the 2011 ‘Dear CEO’ letter, but it’s clear from recent supervisory activity that the regulator believes the majority of client files are still failing to evidence suitability. The recent spate of s166 skilled person notices, issued in the wake of the 2015 wealth sector suitability review, are a sure sign that patience has run out.