04/30/2021
Many firms have, in compliance with the SFDR, already published their responsible investment policies setting how they have integrated sustainability and ESG risks across their investment chain in advance of the 10 March deadline.
04/28/2021
The UK Financial Conduct Authority (the FCA) is proposing to take enforcement action against an individual, Jon Frensham, relating to "non-financial misconduct".
04/28/2021
In this series of user-friendly guides, our regulatory team walk you through the key topics of how to avoid a referral, what to do if you are referred, how best to identify and manage conflicts of interest and how your firm should approach AML to ensure c