Tag Archives: FSA
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 …
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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
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
Aug6
Promotion of Unregulated Collective Investment Schemes
Many firms received a month ago from the FSA a Dear Compliance Officer letter requiring confirmation that, in the CO’s opinion, the firm had adequate policies and procedures covering its UCIS activities and requiring a range of data relating to …
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Posted in: FSA
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, s166, skilled person, Supervision, UCIS
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, s166, skilled person, Supervision, UCIS