What happened?

The Markets in Financial Instruments Directive, more commonly known as MiFID II, was introduced in January and brought widespread changes for the finance industry. The new laws require fund managers to pay directly and explicitly for research, instead of receiving it free of charge from brokers and investment banks, except in the case that the firm can prove that the research passes the quality enhancement test.

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As the initial storm of activity (and in some cases panic) surrounding preparation for GDPR subsides, we take a look at a practical guide for funds wishing to communicate with current and potential investors. We’ll consider what’s changed, what it means and what you can do to still communicate your fund’s value to the widest possible audience.

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With the recent enforcement of FinCEN’s Final Rule on Customer Due Diligence and the associated alignments of regulations by bodies such as FINRA, money laundering compliance and due diligence is sharply back in focus. Here we look at the role of the MLRO, how it should be performed effectively and efficiently and bust some of the myths that surround anti-money laundering due diligence.

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