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Category Archives: Miscellaneous
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
May16
Regulation Talks
One of the greatest challenges for anyone responsible for compliance in a sizable business is to maintain a level of interest and focus on regulation and compliance from everyone across the business. The tendency, particularly among front office staff, to …
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Posted in: Miscellaneous
Tagged in: AIFMD, ESMA, EU, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, MiFID, s166, skilled person, UCITS
Tagged in: AIFMD, ESMA, EU, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, MiFID, s166, skilled person, UCITS
Aug8
EU financial regulator tries to mend Ucits III
Posted in: ESMA, Miscellaneous, UCITS
Tagged in: ESMA, ETF's, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, s166, skilled person, UCITS
Tagged in: ESMA, ETF's, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, s166, skilled person, UCITS