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: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be treated by the EU as a...

Practice Note

BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...

Practice Note

BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...

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: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be treated by the EU as a...

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
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