Remote-Hybrid Working Guidance from the FCA

FCA and Hybrid Working - Regulatory Umbrella

For information – https://www.fca.org.uk/firms/remote-hybrid-working-expectations The FCA Released its Guidance for Remote-Hybrid Working Expectations in October 2021 and updated it again on 18th January 2022.

EU’s New Cross-Border Distribution Framework – Local Facilities in Member States

EU’s New Cross-Border Distribution Framework – Local Facilities in Member States

The new EU Directive 2019/1160 and Regulation 2019/1156 (the “Directive” and the “Regulation”) (together the “CBDF”) on the cross-border distribution of collective investment funds took effect on 2 August 2021. In an earlier update, we specifically examined the changes these made for UCITS and AIFs at the pre-marketing stage. In this update, we address the impact of the CBDF on the requirement to maintain local facilities across Member States.

Google and firms that advertise financial services

advertise lead services for financial firms

A little education for Lead Generators who are currently advertising their Lead Services on Google; it may lead to other online advertisers to take a similar stance.  Google in July has made it mandatory that Firms that Advertise Financial Services must be either directly FCA Approved or be an Appointed Representative Firm of a Principal […]