Don't be fooled by Brexit uncertainty It's still business as usual in the regulatory world. Technical Director Don Scott explains how you can avoid being caught out. 26/06/19 Read more
News Do platforms have ex post MiFID II disclosures that are up to date? Time is running out out for firms to provide cost transparency documents and advisers are seeing the difficulties that lie ahead in acquiring the relevant information... 02/05/19 Go to article
Regulation in 2019: Our outlook SM&CR is one of the biggest changes on the horizon for 2019 and could potentially cause a compliance headache for the advisory sector. We share our outlook on this regime and others for the year ahead. 18/02/19 Read more
12 months of MiFID II MiFID II recently hit a significant milestone, having been in force for 12 months. We examine the impact it has had on the industry. 04/02/19 Read more
News MiFID II research pricing is still a grey area Buy-side firms are continuing to struggle with some of the research issues raised in January 2018. TCC's Don Scott comments... 04/01/19 Go to article
News Be prepared for a Mifid II crackdown in 2019 Advisers may face a crackdown on product governance rules in 2019... 21/11/18 Go to article
News Investment platforms under fire over Mifid II data requirements Some investment platforms are failing to help asset managers and advisers meet their Mifid II obligations... 12/04/18 Go to article
News MiFID II Recording Requirements - The Main Challenges We examine why firms must be prepared for a number of process changes no matter whether they choose the FCA's option of recording conversations or taking written notes. 27/09/17 Go to article
News Regulation Overload: Are Advisers Ready For the MIFID II Mountain We examine why firms must be prepared for a number of process changes no matter whether they choose the FCA's option of recording conversations or taking written notes. 22/09/17 Go to article
Case study: Meeting MiFID II rules with help from expert team We found a flexible approach that utilised our client’s existing resource, keeping costs under control. 29/03/17 Read more
Is The Age of Ultra-Niche, Tech-Savvy Compliance Officers on its Way? It's been speculated that MiFID II may require compliance professionals to develop complex technical skills alongside traditional skill sets. We explore the reality of this prediction. 01/12/16 Read more
