Tag Archives: Supervision
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