We use cookies to improve your website experience. To learn about our use of cookies and how you can manage your cookie settings, please see our Cookie Policy. By continuing to use the website, you consent to our use of cookies. Close

Compliance Monitor RSS feed

The early days of SMCR

Online Published Date : 05 February 2020 | Appeared in issue: Vol 32 No 5 - 18 December 2019

How much of a change does the SMCR bring to solo-regulated firms? How have they performed thus far against the new challenges? And what needs to be done this year? Adam Jamieson and Daren Kemp consider these and other practical questions.

Treating Customers Unfairly – the tracker funds with ‘enhanced’ fees

Online Published Date : 05 February 2020 | Appeared in issue: Vol 32 No 5 - 18 December 2019

A change in management policy for two investment funds, which allowed retail customers to be over-charged for almost five years, has led to costly enforcement action against Henderson Investment Funds. Lessons should be learned from this failure of systems and controls in relation to the management, oversight and governance of such funds, reports Denis O’Connor.