Category Archives: FSA
Sep28
Extra territoriality
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
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, s166, skilled person
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, 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
Apr5
FSA’s interest in Bribery
Recently the FSA has started a major campaign to sharpen up compliance with the new Bribery Act. In this country we tend to be rather complacent about bribery, safe in the knowledge that there is less of it here than …
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Posted in: FSA
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, s166, skilled person
Tagged in: Expert Wtiness, FCA, FCA visit, Financial Conduct Authority, s166, skilled person