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
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
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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