PE Tech Report

UK

Stephen Kenny, Blick Rothenberg

Guidance for investors on the Reporting Fund Regime

Stephen Kenny (pictured) and Daniel Edgson from Blick Rothenberg’s Financial Services team take a look at the Reporting Fund Regime and provides guidance on what UK investors and individuals need to be aware of.

Stephen Kenny, Blick Rothenberg

Salaried Member Rules: What you need to know if you’re an LLP

If you’re a member of an LLP, you need to watch out to avoid being caught unexpectedly by the Salaried Member Rules. Stephen Kenny (pictured) from Blick Rothenberg’s Financial Services team looks at the rules in more detail and explains what you need to know.

Priya Mehta, Buzzacott

IFPR: the time to act is now

Firms falling within the remit of the FCA’s new Investment Firm Prudential Regime (IFPR) cannot afford to be passive. They need to set themselves on the right path now if they are to meet the January 2022 compliance deadline. Some firms have a long road ahead as the new rules

Action ahead – firms to plan for IFPR compliance

By A Paris – January 2022 may seem far away but the preparations financial services firms in the UK need to make to comply with the incoming Investment Firm Prudential Regime (IFPR) are considerable and they need to think about it now, if they haven’t done so already. The new rules are going to

Adam Palmer, ACA Compliance

Less than 2 per cent of firms are fully prepared for SM&CR, says survey

A survey conducted on preparation for the FCA’s Senior Managers and Certification Regime, (SM&CR) has revealed that most firms have significant work to do, as they prepare for its extension to all authorised firms on 9 December. From a pool of over 70 respondents, including asset managers, hedge funds, private equity firms,

Duff & Phelps appoints interim managers of Northern Powerhouse Developments

Philip Duffy and Sarah Bell, both of Duff & Phelps, have been appointed Interim Managers of Northern Powerhouse Developments Limited effective Sunday 7 July 2019. The court order followed the appointment of both Duffy and Bell as Interim Managers of MBI Hawthorn Care Limited, MBI Clifton Moor Limited and Afan Valley

Martin Lovick, ACA Compliance

Firms’ non-financial misconduct under FCA spotlight thanks to SM&CR

By Martin Lovick (pictured), Senior Principal Consultant, ACA Compliance Group – Sexual harassment and other forms of “non-financial misconduct” are now on equal footing with types of financial misconduct, such as market abuse, for the UK Financial Conduct Authority (FCA). Firms and employees are at risk of regulatory sanctions –

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14 November, 2024 – 5:00 pm

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