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Tag Archives: FSA
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
Feb14
FSA discusses AIFMD
By now most people will have seen that FSA has published its first step in the process of implementing the Alternative Investment Fund Managers Directive, Discussion Paper 12/1. It would be fair to say that not everyone has found it …
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Posted in: AIFMD
Tagged in: AIFMD, ESMA, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, s166, skilled person
Tagged in: AIFMD, ESMA, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, s166, skilled person
Nov24
Gold-Plating
Gold-Plating or What You Will The Charles River research report published recently by the City of London Corporation (The Implications of the New Financial Regulatory Architecture) reveals that the financial services industry has a preference, namely that the FSA …
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Posted in: ESMA, FSA
Tagged in: CityUk, ESA, ESMA, European Directives, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, Gold-Plating, s166, skilled person, superequivalence
Tagged in: CityUk, ESA, ESMA, European Directives, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, FSA, Gold-Plating, s166, skilled person, superequivalence