Prime brokerage

Prime brokerage 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

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 one minute guide. 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 further guidance...

Practice Note

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

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