Author Archives: admin
Aug19
FCA’s Consultation on CRD IV
You will probably have seen by now the FCA’s CP13/6 on CRD IV. One of the bigger areas of discretion that FCA is dealing with in this consultation is the question of what treatment they should apply to firms that …
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Posted in: CRD, FCA, Remuneration Code
Tagged in: BIPRU, Capital, CRD IV, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, Remuneration Code, s166, skilled person
Tagged in: BIPRU, Capital, CRD IV, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, Remuneration Code, s166, skilled person
Aug5
Overdue overhaul: CASS gets a new lick of paint
Having been heavily stung over the resolution of the Lehman failure, the regulator – not this regulator, of course, for all the failings lay with FSA – is carrying out a spring clean of the whole of CASS (CP 13/5). …
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Posted in: CASS, FCA
Tagged in: CASS, Consultation, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, s166, skilled person
Tagged in: CASS, Consultation, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, s166, skilled person
Jun14
Promotion of Unregulated Collective Investment Schemes
FCA’s PS13/3: Retail investors unwelcome Whatever our hazy recollections of the good old days, there never was a time when regulators were relaxed about the promotion of unregulated collective investment schemes. Twitchy might be the best description; paranoid might be …
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Posted in: Miscellaneous
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, promotion, s166, skilled person, UCITS
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, promotion, s166, skilled person, UCITS