Why the LIBOR replacement isn’t just about a new rate
LIBOR will be phased out by 2022, but on top of switching to the new rates what else do firms need to be doing in this transition phases?
The underlying risks of mergers and acquisitions
With risk management in mergers and acquisitions, digital assets are often overlooked. Here, we examine what this lurking area of risk means for firms.
What is ESG Reporting and why does it matter?
With the funds industry moving closer towards mandatory ESG reporting, what does this mean for data publication and ongoing compliance?
The value assessment conundrum for the funds industry
With asset managers now required to publish value statements on their websites, what compliance challenges is this likely to throw up?
Managing Financial Promotion Risk (from unauthorised colleagues)
Your firm's compliant department knows the regulations and risks with financial promotions, but can the same be said for your marketing team?
PRIIPs KID Requirements: Where We're Headed
With potential changes to KID requirements on the horizon, what is happening with regulation of PRIIPs?
Is a perfect storm brewing over financial promotions?
Irate investors, a criticised regulator and a new FCA boss: the perfect storm gathering over how financial promotions are regulated.
What can we learn from the SEC's enforcement actions in 2020?
The SEC didn't shy away from enforcement actions in 2020, issuing bigger fines than ever. It's clear the regulator will be focusing on record-keeping going forward.