Category Archives: Miscellaneous

May19

‘Reasonable Steps’ in the Regulated World

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Lucy McClements There is no doubt that being a Senior Manager Function holder (SMF) in today’s regulatory environment comes with increased risks. Regulatory expectations have been enhanced thus creating additional pressure on Boards and individuals to evidence their competence on …
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Posted in: FCA, Miscellaneous, Senior Managers Regime
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Oct29

Treating EU customers fairly

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While we have been known to suggest that the EU does not always act as it should, in some areas, whether right or wrong, it has at least the merit of consistency. One such area is its approach to determining …
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Posted in: Brexit, ESMA, EU, FCA, MiFID, Miscellaneous, UCITS
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May6

Remember the world outside?

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If you ever thought that Brexit had become an over-discussed issue, that must have been several months ago. It is a topic that is destined to succeed in fighting its way out of the shadows that have over-cast it. Whether …
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Posted in: Brexit, FCA, Miscellaneous
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