Tag Archives: Financial Conduct Authority
Jun19
FCA’s Review of Client Assets Regime for Investment Business CP 13/5 and PS 14/9
With the CASS Policy Statement now published the industry is turning its attention to the practicalities of implementation. Alongside our note on FCA’s decisions as set out in the PS, we are providing support to firms that are starting to …
Click here to read the rest of this entry
Posted in: CASS, FCA
Tagged in: CASS, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, policy statement, PS14/9, s166, skilled person
Tagged in: CASS, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, policy statement, PS14/9, s166, skilled person
May9
CASS: Anticipation of another Policy Statement
Despite the elapse of nine months since the publication of the bulky CASS consultation paper (CP13/5), memories of the FCA’s proposals may not have faded totally. That is just as well, given that the Policy Statement is now imminent and …
Click here to read the rest of this entry
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
Feb18
OWL launches new AIFMD Helpline
In response to evidence of frustration among affected firms, OWL has launched a new AIFMD Helpline to guide the industry through the array of new rules, regulations and guidance. The Helpline is to be accessed on 020.7389.7028. Most firms have …
Click here to read the rest of this entry
Posted in: AIFMD
Tagged in: AIFMD, CRD, EMIR, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, s166, skilled person
Tagged in: AIFMD, CRD, EMIR, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, s166, skilled person