This article outlines the three most practical steps firms can take to ensure a smooth transition to GDPR compliance ahead of 25 May 2018.
Practical next steps on the path to MIFID II compliance.
Supporting Cyclists Fighting Cancer
ESMA and the EBA released new proposals in December 2015 for the prudential regime to be applied to fund and asset managers
To celebrate a successful and enjoyable first year in business, Regent’s Compliance has supported Re~Cycle with a corporate donation. Re~Cycle is the UK based charity transforming lives in Africa through bicycle re‐use.
Regents Compliance was part of the working group that contributed to the Hedge Fund Standard Board's latest consultation paper on conflicts of interest.
Remuneration is a sensitive topic which requires a balance between suitable disclosure and respect for confidentiality.
When establishing and maintaining a compliance infrastructure, knowing where to start is half the battle. In this briefing, we outline the core documentation for all UK compliance programmes.
Reporting is an ever changing landscape and driven by often tight submission deadlines which it can be easy to fall foul of. We touch on some of the key reporting that your firm is likely to encounter and highlight points for your consideration.
Effective communication with investors and prospects is at the heart of successful businesses. The rules of the road in Europe have changed and in this briefing we offer you and overview of the current requirements.
With Cybersecurity falling under the SEC spotlight in America, in this briefing we outline the key requirements from a UK perspective.
In this briefing, we offer a condensed overview of the key EU directives facing investment management firms operating in Europe.