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20 02, 2018

CMA: Making the online gambling sector fairer

February 20th, 2018|CMA|0 Comments

On 1 February, the Competition and Markets Authority (CMA) announced that online gambling firms must stop using unfair promotions that trap players’ money. Thanks to their investigation, 3 leading gambling firms have formally committed to change their online terms and practices. But there’s more to do to get the sector to raise its game. Why [...]

18 02, 2018

5 GDPR challenges you need to overcome before May

February 18th, 2018|Perivan|0 Comments

With the General Data Protection Regulation coming into force on 25 May, it’s fair to say the new rules are a major focus for marketing teams. For many of us, the challenge has been clarifying exactly what’s needed, and putting in place actions to tackle the new requirements. It’s been predicted that the GDPR will [...]

16 02, 2018

Responsibility and problem gambling guidance

February 16th, 2018|CAP|0 Comments

Committees of Advertising Practice (CAP) and UK Code of Broadcast Advertising (BCAP) have published a dedicated piece of guidance on gambling advertising, setting new standards to ensure that ads remain responsible with a particular focus on mitigating potential harms associated with problem gambling. Advertisers need to ensure that their ads are in line with the guidance by 2 [...]

15 02, 2018

What can you learn from the new FCA/ICO update on GDPR?

February 15th, 2018|Marketing|0 Comments

On February 8th, the Financial Conduct Authority (FCA) and Information Commissioner's Office issued an update on the EU General Data Protection Regulation (GDPR). What does the update say? The update clarifies some questions regulated firms have raised with the FCA. It says that: ‘Firms have asked us about their ability to comply with both the [...]

14 02, 2018

Tougher standards on gambling advertising

February 14th, 2018|CAP|0 Comments

The Committees of Advertising Practice (CAP) has announced tougher standards on gambling advertising, focusing on ads’ appeal to problem gamblers and on free bets and bonuses. Both sets of standards form part of continued efforts to make sure regulation prevents harm and promotes responsible advertising. The new standards on problem gambling: Restrict ads that create [...]

12 02, 2018

FCA Fines Broker £1 Million for Poor Surveillance of Potential Insider Trading

February 12th, 2018|Smarsh|0 Comments

Last month, the Financial Conduct Authority (FCA) fined a UK brokerage firm just over one million pounds for poor market abuse controls and failing to report suspicious client transactions. The regulator said the UK broker had outsourced surveillance of trades on its venue to a US subsidiary, which failed to adequately design, test and implement [...]

7 02, 2018

Which adverts attracted the most complaints in 2017? Top 10 most complained.

February 7th, 2018|Marketing|0 Comments

This week, the Advertising Standards Authority released its annual list of the most complained-about adverts. We look at the reasons ads attract complaints – and what you can do to make sure you stay on the right side of the ASA. What is the ASA? The Advertising Standards Authority (ASA) polices and enforces advertising standards [...]

29 01, 2018

FCA clarifies expectations on PRIIPs communications

January 29th, 2018|Perivan|0 Comments

On 24 January, the Financial Conduct Authority (FCA) issued a priips on communications in relation to PRIIPs. This statement responded to concerns raised about the performance scenarios in the Key Information Document (KID) – a requirement of the new Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation. What is PRIIPs? The Packaged Retail and Insurance-based [...]

28 01, 2018

Do you need to change your adviser marketing under MiFID II?

January 28th, 2018|Compliance|0 Comments

An article in this week’s Money Marketing suggests that you might. Confusion around new inducement rules under MiFID II is causing providers to review their marketing targeted at advisers via conferences and on websites. We look at what’s caused the uncertainty and what you may need to do as a result. What does MiFID II [...]

25 01, 2018

How to avoid pitfalls when preparing your PRIIPs documents

January 25th, 2018|Perivan|0 Comments

Recent research has found that the Key Information Document – a requirement of the new PRIIPs regulation – has potential shortcomings when applied to investment trusts. Here we look at what the KID is and what pitfalls you need to avoid when producing it to ensure that you don’t inadvertently mislead investors. What is PRIIPs? [...]

25 01, 2018

5 new regulations you need to tackle in 2018

January 25th, 2018|Compliance|0 Comments

The regulatory compliance challenges you face are ever-increasing. Regulations are updated and added to; whole new rafts of legislation are brought in. 2018 looks like being no exception. Here we explore five new regulations you will be facing in the coming year – and the action plans you need to comply. PRIIPs Came into force: [...]

18 01, 2018

VAT in Advertising

January 18th, 2018|CAP|0 Comments

To include or not to include? - VAT in stated prices. The Committees of Advertising Practice (CAP) Code requires that prices in ads include non-optional taxes, duties, fees and charges that apply to all or most buyers. This applies to all advertising and marketing materials, including websites and social media profiles. Because the correct use [...]

11 01, 2018

What did FCA fines look like in 2017?

January 11th, 2018|Perivan|0 Comments

Fines dished out by the Financial Conduct Authority (FCA) took a massive leap in 2017, increasing tenfold year-on-year. Why was this, and what can you do to make sure your firm avoids a penalty? What were FCA fines for in 2017? The regulator imposed penalties of £229.4 million from January to December 2017, up from [...]

6 01, 2018

What are the Big Marketing Trends that matter In 2018?

January 6th, 2018|Marketing|0 Comments

Every year brings a slew of new rules, new innovations and new predictions. 2018 is no different, of course. Here we look at some of the key marketing trends and upcoming events that will shape your year ahead. Regulation There’s no shortage of new legislation coming in 2018. And this isn’t just an issue for [...]

5 01, 2018

GDPR a bigger compliance challenge than MiFID II?

January 5th, 2018|GDPR|0 Comments

An article in FT Adviser suggests that, for financial advice firms, it might be. Probably not what businesses still reeling from MiFID II, which came into force this week, want to hear. But the General Data Protection Regulation – which becomes effective from May this year – is the next challenge facing Compliance teams, and shouldn’t be [...]

4 01, 2018

MiFID II: an opportunity for compliant productivity

January 4th, 2018|Smarsh|0 Comments

2018’s calendar of financial activity is already looking very busy, but for a large number of industry practitioners there is one date writ large. 3rd January 2018 sees the European Union’s (EU) revised Markets in Financial Instruments Directive 2014/65/EU, known as MiFID II, come into force. At the heart of the new regulations, the first [...]

29 12, 2017

Proposals for a revised UK Corporate Governance Code

December 29th, 2017|Boards|0 Comments

The Financial Reporting Council (FRC) has published proposals for a revised UK Corporate Governance Code. The updates to the Code are designed to ‘reflect the changing business environment and help UK companies achieve the highest levels of governance’. Here we examine the proposed changes and their implications for boards. What is the UK Corporate Governance [...]

29 12, 2017

Looking Back at Noteworthy Enforcement Actions of 2017

December 29th, 2017|Smarsh|0 Comments

Following a year wherein we (Smarsh) saw FINRA fines hit record highs, several trends in disciplinary actions surfaced in 2017 that we can expect to see again in the coming year. Regulators May Not Expect Perfection, but They Do Expect a Compliance Strategy and Execution This past year, email and electronic communications were firmly in the spotlight. [...]

27 12, 2017

What was new for compliance in 2017?

December 27th, 2017|Perivan|0 Comments

When we look at what was new for Compliance teams in 2017, the answer is – more of the same! New regulations, increased requirements; it can feel as if you’re on an ever-quickening treadmill. Here we explore some of the issues that made headlines in your world over the last 12 months. New regulations continue [...]

20 12, 2017

Deck the halls with compliant advertising!

December 20th, 2017|CAP|0 Comments

Everyone loves a white Christmas, but no-one wants the cold shoulder from the Advertising Standards Authority (ASA), so make sure your Christmas crackers go with a bang this festive season by sticking to the ad rules. You better not…make offensive references to religion It’s around this time of year that the ASA tends to receive [...]