Reverse Solicitation
Forever the bugbear for those in the compliance field who have a penchant for all things marketing and Distribution is the grey area of ‘reverse solicitation’.
14 Jan 2021
2020 Like it or love it - A review of the year
2020 review and industry forecast.
17 Dec 2020
Governance in Focus
When Central Bank of Ireland first mooted a review into fund management company (FMC) effectiveness in 2014, it followed a growing trend in ensuring investor protection and market integrity through robust governance, management and oversight.
07 Dec 2020
Comply or Die?
The Sustainable Finance Disclosure Regulation.
09 Nov 2020
Distribution after Brexit
Throughout my career I have always had a compliance or governance focus, therefore writing about distribution activity for investment managers may seem a little strange.
24 Aug 2020
Assessment of Value Take 2: Lessons Learned?
With the majority of firms having now issued their first Value Statements and with Regulator commentary expected in the not too distant future, at Devlin Mambo we look across the market at what has been issued to date and take a view on what good looks like (or at least what it shouldn’t look like).
09 Jul 2020
Maintaining Strategic Focus
There's been some positive news with several countries stating that they are easing the lockdown measures resulting from COVID-19. While this is welcome, we are certainly not out of the woods yet as experts have indicated that we may face continued movement restrictions until we have a vaccine - potentially H2 of 2021.
20 Apr 2020
Operational Resilience – Coronavirus Impact
With the consultation phase on Operational Resilience issued by the Bank of England, PRA and FCA coming to an end on 3rd April, the fallout from the current Coronavirus epidemic is sure to have a significant influence on what any final regulation might look like.
27 Mar 2020
COVID-19: Adapting to a new way of working and impact on the regulatory timeline
We are facing incredibly challenging times as a result of the Covid-19 pandemic.
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