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| Americas

Expiring no-action impacts EU research firm registration requirements

The expiration of the SEC’s no-action letter has significant implications for European research firms operating in the US market. With the relief provided by the letter set to expire at…

| UK & Europe

View from the Chair: SMCR – Adjusting the tiller

The 1st June deadline for submitting responses to the FCA / PRA DP23 and the Treasury’s Call for Evidence in relation to the Senior Manager & Certification Regime has now…

| Asia

Getting licensed by the Monetary Authority of Singapore

Our guide breaks down the licensing process, providing practical insight through each stage

| UK & Europe

Better late than never? Preparing for the FCA’s review of retirement income advice

The FCA’s announcement of its thematic review into retirement income advice earlier this year shouldn’t have come as a great surprise to the advice sector. Many of the tell-tale markers…

| Americas

The importance of trust and transparency in global markets

As an international consultancy, we’re used to dealing with the many different rules and regulations that are instituted by different financial regulatory authorities across the globe. But as the world…

| Asia

FSMA heralds change to Singapore regulation

The MAS has now kicked off the first phase of its new Financial Services and Markets Act following the Bill being passed in Parliament. Although this initial phase may not…

| UK & Europe

Bovill commends MerQube on FCA approval as a benchmark administrator

NEWS RELEASE: MerQube UK Limited, a technology-driven index developer and provider, has been approved by the FCA to administer benchmarks for its clients in the UK. Financial regulation consultancy Bovill…

| UK & Europe

Proportionality key to overlapping remuneration rules

Remuneration continues to draw attention from the regulators. While wholesale brokers were specifically called out on weak reward structures in this year’s Dear CEO letter, many investment firms are still…

| UK & Europe

Equity release – revisiting the FCA’s expectations

It’s been almost three years since the FCA last focused on equity release, with the publication in June 2020 of key findings following a review of the Equity Release Sales…

| Asia

SFC sets out data management expectation

The SFC’s latest circular outlines its expectations for licensed corporations’ data risk management practices, in light of its recent thematic review. The report provides information, from a thematic review, on…

| Americas

Enhanced proxy vote reporting changes for investment managers

The amendments adopted in November 2022 by the SEC to enhance the form used by mutual funds, exchange-traded funds, and other registered funds to report information about their proxy votes…

| UK & Europe

Market Watch 73 puts spotlight back on CFD providers

The FCA’s latest Market Watch highlights areas for improvement in market abuse controls in CFD providers while recommending some best practices. Market Watch 73, published at the end of April,…
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