Demystifying SMCR

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Compliance

Compliance Induction and Refresher Training for a Digital Age

The year is 1997. An investment firm has a new intake of staff – graduate trainees, investment professionals, operations specialists, back-office workers. A memo goes round. The new staff members are required to attend a compliance training course.

Compliance

Cross Border Distribution Of AIFs And UCITS

In April 2019, the European Parliament approved changes to the Alternative Investment Fund Managers Directive (“AIFMD”) and the UCITS directive to facilitate cross-border marketing of funds. The changes, which take the form of a directive and a regulation, seek to improve the efficiency of cross-border marketing of funds across the EU.