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Governance Standards › Financial Conduct Authority (FCA) › Investment Management

Proskauer - Regulatory & Compliance

Consumer Duty Implementation: Good Practice and Areas for Improvement

Proskauer - Regulatory & Compliance on

On 20 February 2024, the United Kingdom’s Financial Conduct Authority (“FCA”) published guidance (the “Guidance”) on the implementation of the Consumer Duty. The Consumer Duty came into force for “open” products and...more

Latham & Watkins LLP

FCA Finds Further Improvement Needed on Design, Delivery, and Disclosure of ESG Funds

Latham & Watkins LLP on

The FCA has set out good and poor practices for asset managers to consider in relation to funds with ESG or sustainable characteristics. On 16 November 2023, the FCA published the findings from its review of how asset...more

A&O Shearman

UK Conduct Regulator Wants Asset Management Sector to Reflect on Risks to Customers and Markets

A&O Shearman on

The U.K. Financial Conduct Authority has published two letters addressed to the CEOs of firms in the asset management and funds sectors. The first letter is addressed to CEOs of FCA-authorized firms directly managing...more

Proskauer Rose LLP

UK Financial Conduct Authority Identifies Significant Shortcomings in Firms Operating Appointed Representative Platforms

Proskauer Rose LLP on

On 20 May 2019, the UK Financial Conduct Authority ("FCA") published its findings of its multi-firm review into the supervision by principal firms of their appointed representatives ("ARs") operating in the investment...more

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