Financial conduct authority (fca)
With a considerable backlog of applications, the FCA may be less strict when it comes to authorising fund managers under AIFMD in order to meet today's deadline, one expert says
More Financial conduct authority (fca) articles
The UK regulator has fined Credit Suisse and Yorkshire Building Society for a serious breach of the requirement to be clear, fair and not misleading in their financial promotions. But where does the judgement leave the use of backtesting?
How prime brokers should segregate assets posted as collateral by hedge funds and held on their behalf to be debated by the board of the European Securities and Markets Authority
The redress process continues for UK businesses sold inappropriate interest rate hedging products by their banks, with the cost of compensating them now over £1 billion
Troubled bank hires ethics board head to help restore confidence after mismanagement led to huge financial losses
Regulatory pressure to focus on conduct risk means that banks now need to be sure that they have adequate and timely measures of their exposure
OpRisk Europe heard yesterday that the UK regulator needs to provide the industry with a definition of conduct risk to help banks formulate a unified and consistent approach to managing such risks
The renewed focus in the UK on conduct risk means firms must ensure that their conflict management policies and procedures are fit for purpose. John Ahern, a partner at law firm Jones Day, looks at the obligations firms now face when attempting to mitigate...
In response to industry fears of a collateral crunch, regulators have revised the proposed rules on margining for uncleared over-the-counter (OTC) derivatives.You can find out more by downloading this white paper here.
Hong Kong, 1st - 31st Dec 2014
UK, 18th Mar 2015
Australia, 12th - 13th Aug 2014
Australia, 14th Aug 2014
USA, 20th - 21st Aug 2014