FSR and Corporate Crime Notes
Tag: retail distribution review (rdr)
Showing 8 out of 8 results
UK launches Financial Advice Market Review
On 3 August, the UK Government launched what it described as a major new review to examine how financial advice could work better for consumers. The …
Thematic work by Hong Kong's SFC identifies deficiencies in selling practices
The Securities and Futures Commission of Hong Kong (the SFC) has published a report summarises the findings of a thematic inspection of the selling …
PRIPs: Proposed Regulation on pre-sale disclosures for Packaged Retail Investment Products – interaction with RDR and MiFID II
The European Commission has now published its final proposal for a Regulation on mandatory pre-sale disclosures for Packaged Retail Investment Products …
Consultation on the review of the Markets in Financial Instruments Directive: Investment advice and the FSA's Retail Distribution Review
The European Commission published its consultation (the "Consultation") on the review of the Markets in Financial Instruments Directive ("MiFID") in …
European reforms to regulation of packaged retail investment products
The European Commission has recently published its long-awaited proposals on the regulation of Packaged Retail Investment Products (PRIPs). The aim …
FSA confirms professionalism aspects of RDR
The FSA has published its final rules on professionalism in the context of delivering the Retail Distribution Review (RDR) in policy statement …
Investment funds update
Update at a glance including Alternative Investment Fund Managers Directive, Hedge Fund Standards Board and RDR platform proposals. Alternative …
FSA consults on reforms to platform regulation
FSA consults on reforms to platform regulation The FSA has published a long-awaited Consultation Paper (CP10/29) seeking industry views on changes to the …