Category Archives: Miscellaneous
Mar9
Umpteen Shades of Grey
Use of dealing commission – acquisition of research The ability of regulators to cause a stir has never been in doubt. But seldom have they been so electrifying as with the recent developments over Use of Commission. With accusations flying …
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Dec16
Happy Christmas
OWL wishes all its clients a very Happy Christmas and a thoroughly compliant New Year
Posted in: Miscellaneous
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
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