Tag Archives: skilled person

Sep28

Extra territoriality

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At the FSA’s annual Asset Management conference on 25th September, Oliver Lodge pressed US and EU regulators on their justification for imposing extra-territorial regulation. Oliver pointed out that the cost of this strategy was enormous while the benefits were very …
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Posted in: AIFMD, FSA
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Aug6

Promotion of Unregulated Collective Investment Schemes

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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
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May16

Regulation Talks

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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
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