Legal & Regulation

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A solution for fund disclosure requirements under MiFID II and PRIIPs

A solution for fund disclosure requirements under MiFID II and PRIIPs

By Jean-Florent Richard (pictured) & Pilar de Terry – Next year sees the introduction of two major pieces of regulation both of which will have implications for how asset managers distribute their investment funds across Europe. Simply put, MiFID II will apply to investment firms manufacturing and/or distributing financial instruments while the PRIIPS regulation applies to all unit-linked funds, structured products and retail investment products. 

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Thirty seven per cent of organisations around the world still unsure whether they even need to comply with GDPR, says recent study

Thirty seven per cent of organisations around the world still unsure whether they even need to comply with GDPR, says recent study

By George Ralph, RFA – A recent study by Watchguard Technologies of 1,600 organisations also found that only 10 per cent believed they were 100 per cent prepared for the regulations to pass into law. That’s 90 per cent who do not feel prepared, or are unsure if the regulations even apply to them.

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MiFID II 90 days and counting…

MiFID II 90 days and counting…

By Nick Bayley (pictured), Duff & Phelps – With less than three months until the introduction of MiFID II, in some parts of the industry there is a palpable sense of panic as the deadline looms. Following the 20 September speech by FCA Enforcement chief Mark Steward, firms can take some comfort that the FCA will not immediately enforce MiFIDII in its entirety, provided firms can demonstrate that they have taken “sufficient steps to meet the new obligations”.