Author Archives: admin
Jan22
2013 and all that
You may well be thinking that you have had more unsolicited emails about AIFMD than you have had hot dinners. The trouble is that a lot of firms have a lot to do to adjust to the new, vastly superior …
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Posted in: Miscellaneous
Tagged in: AIFMD, EU, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, s166, skilled person
Tagged in: AIFMD, EU, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, s166, skilled person
Sep28
Extra territoriality
At the FSA’s annual Asset Management conference on 25th September, Oliver Lodge pressed US and EU regulators on their justification for imposing extra-territorial regulation. Oliver pointed out that the cost of this strategy was enormous while the benefits were very …
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Posted in: AIFMD, FSA
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, s166, skilled person
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, s166, skilled person
Aug6
Promotion of Unregulated Collective Investment Schemes
Many firms received a month ago from the FSA a Dear Compliance Officer letter requiring confirmation that, in the CO’s opinion, the firm had adequate policies and procedures covering its UCIS activities and requiring a range of data relating to …
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Posted in: FSA
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, s166, skilled person, Supervision, UCIS
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, s166, skilled person, Supervision, UCIS