Tag Archives: FCA
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
May16
AIFMD HMT Provides answers
The Treasury’s recent ‘Q&A’ on the transposition of the AIFMD has been reinforced this week by its Responses to the two Consultations that it published earlier this year. Some will have noted that the Q&A in the main Response …
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Posted in: AIFMD
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