Asset management

Asset management guidance:

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 further guidance on...

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 further guidance on...

Practice Note

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

Practice Note

BREXIT: The UK is due to leave 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

This year’s annual round-up reviews some of the most significant developments of 2017 and previews what is on the horizon for 2018. This includes EU and international...

Practice Note

This year’s annual round-up reviews some of the most significant developments of 2017 and previews what is on the horizon for 2018. This includes the finalisation of...

Practice Note

Click here to download the latest Fund Management 2019 report 2019, published by Getting the Deal Through. Jurisdictions covered The following jurisdictions are covered...

Practice Note

Click here to download the latest Private equity transactions 2018 report, published by Getting the Deal Through. Jurisdictions covered The following jurisdictions are...

Practice Note

1. Telephone taping (a)(i) What are the restrictions on the taping of telephone calls to or from a person outside an organisation in relation to sales of banking or...

Practice Note

1. Telephone taping (a)(i) What are the restrictions on the taping of telephone calls to or from a person outside an organisation in relation to sales of banking or...

Practice Note

INTRODUCTORY NOTE Guernsey includes the islands of Guernsey, Herm and Jethou. The Bailiwick of Guernsey ('Bailiwick') includes these islands together with the islands of...

Practice Note

1. Telephone taping (a)(i) What are the restrictions on the taping of telephone calls to or from a person outside an organisation in relation to sales of banking or...

Practice Note

Since 2007, the Markets in Financial Instruments Directive (MiFID) had increased competition and innovation, leading to better services and protection for investors in...

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 further guidance, see...

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 further guidance, see...

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 further guidance, see...

Practice Note

What is the MMF Regulation? Following its work on shadow banking and investment funds, the European Commission identified a number of concerns about money market funds...

Practice Note

The Senior Managers and Certification Regime (SM&CR) will be extended to all firms authorised under the Financial Services and Markets Act 2000 (FSMA 2000) and regulated...

Practice Note

The PRIIPs Regulation (EU) No 1286/2014 and Commission Delegated Regulation (EU/2017/653) Almost ten years in the making, the Packaged Retail and Insurance-Based...

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

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 further guidance on...

Practice Note

As a result of failings in the financial services sector which contributed to the 2008 financial crisis, the UK Parliamentary Committee on Banking Standards (PCBS) was...

Practice Note

In June 2013, the Parliamentary Commission for Banking Standards (PCBS) published its report Changing Banking for Good, which set out a number of recommendations for...

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

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

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

Practice Note

Background to the study The FCA published the terms of reference for its Asset Management Market Study (AMMS) on 18 November 2015. In the terms of reference, the FCA...

Practice Note

In the UK, investigations into markets can be carried out where there are concerns that markets may not be working well, to find out why and consider what, if any, action...

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 further guidance on...

Practice Note