Distribution and prime brokerage

Distribution and prime brokerage guidance:

AIFMD and the regulation of depositories The purpose of the depositary is to act as a legally separate organisation, responsible for holding the formal documents that...

Practice Note

Background to, and application of, CASS 9 Prior to 1 December 2014, most of the client information and reporting requirements in relation to client assets held by...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For...

Practice Note

COBS definition of 'client' and changes introduced by the MiFID II framework The Financial Conduct Authority’s (FCA's) definition of a client is set out in chapter 3 of...

Practice Note

This Practice Note looks at the Retail Distribution Review (RDR). The RDR is a regulatory initiative that was set up in June 2006 aimed to target the quality and standard...

Practice Note

This Practice Note looks at the work of the Financial Conduct authority (FCA) and its predecessor the Financial Services Authority (FSA) in relation to the retail...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...

Practice Note

Background The regulatory requirements applicable to the distribution of financial products by financial services providers and intermediaries in the retail markets...

Practice Note

Sales, transition services and onboarding A prime broker will have its own internal sales and account management team who are employed to help identify and bring new...

Practice Note