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Comment and Analysis

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Cross Border

The 'passporting' of payments in the post-Brexit picture

Snatching victory from the jaws of defeat, the United Kingdom and the European Union finally agreed a trade deal at the end of last year, just when the Brexit transition period expired. Although some commentator...

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Regulation of Products

SEC pronounces on investment in ESG funds

The US Securities and Exchange Commission's Office of Investor Education and Advocacy or OIEA is offering investors a primer on environmental, social and governance or ESG funds. ...

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Client Data

Data transfers - a fork in the road?

Almost all commercial organisations transfer personal data across borders in some form or other. In financial services, those transfers are absolutely vital and often involve sensitive and confidential informati...

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Best Practice

FCA publishes guidelines for vulnerable customers

A vulnerable customer is someone who, due to his personal circumstances, is especially susceptible to harm, particularly when his wealth management firm is not treating him with appropriate levels of care. The U...

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Regulation of Products

Financial services rush to comply with the SFDR

To achieve the global targets set out by the Paris Agreement, countries all over the world must impose legal and regulatory obligations on financial institutions. With this in mind, all advisors and financial ma...

Latest News

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Fines and Punishment

Blue Gate Capital enters liquidation

The UK's Financial Conduct Authority publicly censured Blue Gate Capital in December and ordered it to pay £203,007 in restitution to investors who lost money investing in the Connaught Income Fund, Series 1, w...

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Regulation of Products

The FCA makes a PROD for asset managers' backs

In January 2018, the European Union's second Markets in Financial Instruments Directive or MiFID II introduced the product governance regime (PROD) for firms that design and distribute financial instruments. ...

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People Moves

TCC Group recruits FCA culture specialist

TCC, the compliance consultancy that has contributed often to our web-pages, has appointed Olivia Fahy, a 'culture' specialist who worked at the UK's Financial Conduct Authority, to lead the charge as its Head o...

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Anti-Money Laundering

Caymans on FATF grey list

When the Financial Action Task Force places a jurisdiction under 'increased monitoring,' it means that the country has promised to resolve its 'strategic deficiencies' swiftly and is subject to more monitoring t...

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People Moves

FCA makes four new senior appointments in shake-up

The Financial Conduct Authority of the UK plans to transform itself into a 'data-led regulator' able to make fast and effective decisions. To this end it announced that it wanted to restructure itself in Decembe...