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Wealth managers
In this section
Tasks for regulated firms
Your business
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Copy trading
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Client money and assets
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Financial crime
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Money laundering and terrorist financing
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Whistleblowing
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Training and competence
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Recruiting, training and supervising staff
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Financial incentives
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Remuneration
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External audit requirements
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Compliance and other support
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Reviewing your resources
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Professional indemnity insurance
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Recording telephone calls
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Culture and governance
Your customers
In focus
Transition from LIBOR
The interest rate benchmark LIBOR is expected to cease after end-2021. Firms must transition to alternative rates before this date.
MiFID II
MiFID II could affect a wide range of your firm’s functions – from client services to IT and HR systems.
Changes to COBS in Quarterly Consultation Paper No. 15
A chapter in our latest Quarterly Consultation Paper is looking to make changes to COBS on adviser charging for vertically integrated firms, arising out of the Financial Advice Market Review.
EBA review of the prudential framework for MiFID investment firms
On 17 January, we hosted an event to talk through the recent EBA discussion paper and explain the thinking behind the proposals and give firms the opportunity to ask questions.
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