Author Archives: admin
Nov24
Gold-Plating
Gold-Plating or What You Will The Charles River research report published recently by the City of London Corporation (The Implications of the New Financial Regulatory Architecture) reveals that the financial services industry has a preference, namely that the FSA …
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Posted in: ESMA, FSA
Tagged in: CityUk, ESA, ESMA, European Directives, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, Gold-Plating, s166, skilled person, superequivalence
Tagged in: CityUk, ESA, ESMA, European Directives, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, Gold-Plating, s166, skilled person, superequivalence
Sep26
FSA Approval of Directors
Recent research has again shown that an alarmingly high number of directors applying for FSA Approval are withdrawing without receiving the Approval they sought. While no doubt a few of these are genuine withdrawals, e.g. health reasons, most of them …
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Posted in: FSA
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, s166, skilled person
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, s166, skilled person
Aug31
ESMA ‘threat’ to Remuneration Code
You may well have seen comments recently about the likely impact of the AIFMD on the implementation of the Remuneration Code for asset managers. This is a question that should be getting rather more attention even than it already is, …
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Posted in: ESMA
Tagged in: AIFMD, ESMA, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, Remuneration Code, s166, skilled person
Tagged in: AIFMD, ESMA, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, Remuneration Code, s166, skilled person