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Clifford Chance

Tagged: 'Fund management'

Results 1-10 of 148

A Year-end Retrospective on Suitability: Back to Basics

23 December 2011

Publication

Looking back at 2011, no one would deny that the Financial Services Authority has made significant inroads in delivering on its promise to intervene in retail (including wealth management) markets to prevent consumer detriment and secure redress for consumers....

A decade of experience with the money laundering offence

29 December 2011

Publication

On 14 December 2011, the tenth anniversary of the entry into force of specific money laundering prohibitions in the Dutch Criminal Code ("DCC") was marked. Just two weeks before the conversion to the euro a new, broadly defined offence was implemented...

Retail Product Development & Governance: is your process in place?

22 November 2011

Publication

The FSA continues its review of the retail structured product market with the release this month of its paper “Retail Product Development & Governance – Structured Products Review”. It is clear that the FSA’s theme of product intervention is here to stay –...

The Financial Transaction Tax – 14 questions and answers

29 September 2011

Publication

Narrative: The European Commission today released a Directive implementing a Financial Transaction Tax (FTT). If enacted,most transactions in financial instruments involving a financial institution are likely to become subject to the FTT from 2014 if at least one...

This week at the UK regulators - 13 May 2013

13 May 2013

Publication

This week at the UK regulators is a weekly alerter providing views on the publications issued by the Financial Conduct Authority and the Prudential Regulation Authority during the last week. It provides a quick way to keep up to speed with what is going on in...

This week at the UK regulators - 29 April 2013

29 April 2013

Publication

This week at the UK regulators is a weekly alerter providing views on the publications issued by the Financial Conduct Authority and the Prudential Regulation Authority during the last week. It provides a quick way to keep up to speed with what is going on in...