In April 2023 the US Securities and Exchange Commission (SEC) published a Staff Bulletin entitled “Standards of Conduct for...
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The UK regulator Financial Conduct Authority (FCA) is at an advanced stage of implementing its new “Consumer Duty” directive. This...
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The European PRIIPs regulation is one of the most ambitious and wide-ranging initiatives in investor protection ever seen. It was...
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In March 2022 US regulatory body FINRA published a notice (reference 22-08) on complex products. This was the first major...
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In April 2021 the European Securities and Markets Authority (ESMA) published its annual statistical report on the performance and...
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The UK will exit the transition arrangements it has with the EU at the end of 2020. As has been covered extensively on a daily basis...
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The important PRIIPs regime has had another difficult year in 2020. This ambitious regulation came into force at the start of 2018...
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On 8 November 2018, The European Supervisory Authorities (ESAs) published their proposed amendments to the PRIIPs regulation which can...
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The European wide PRIIPs regulation came into effect at the start of 2018. This landmark directive covering virtually all retail...
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As is now well known, documented and discussed, the adoption of the PRIIPs European wide regulation was severely derailed in 2016. What...
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