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ESMA’s New Liquidity Stress Testing Rules for EU Investment Funds

From the 30th September 2020, new ESMA guidelines on liquidity stress testing (‘LST’) for EU domiciled UCITS and AIFs funds (excluding unleveraged closed-ended AIFs) come into effect. The guidelines are intended to increase the standard and consistency of liquidity stress testing by management companies and to promote convergence in the way in which national competent authorities

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The challenges with Compliance Monitoring due to COVID-19

Prolonged periods of remote working can lead to financial institutions facing challenges, perceived risks in meeting regulatory obligations and maintaining a robust compliance monitoring framework. We provide guidance on how GRC professionals can deal with some of the challenges with compliance monitoring due to the pandemic.  The FCA continues to stress its message that firms

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