Tag Archives: UCITS
Jun14
Promotion of Unregulated Collective Investment Schemes
FCA’s PS13/3: Retail investors unwelcome Whatever our hazy recollections of the good old days, there never was a time when regulators were relaxed about the promotion of unregulated collective investment schemes. Twitchy might be the best description; paranoid might be …
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Posted in: Miscellaneous
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, promotion, s166, skilled person, UCITS
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, promotion, s166, skilled person, UCITS
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
May10
Remuneration code strikes UCITS
In the eternal struggle between consistency and rectitude, consistency usually wins. Would you rather be consistent or right? When “both” is not an option, everyone says that they go for “right”, but what they do is go for consistent, …
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Posted in: Remuneration Code
Tagged in: AIFMD, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, Remuneration Code, s166, skilled person, UCITS
Tagged in: AIFMD, Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, Remuneration Code, s166, skilled person, UCITS