Category Archives: Miscellaneous
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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2013 and all that
You may well be thinking that you have had more unsolicited emails about AIFMD than you have had hot dinners. The trouble is that a lot of firms have a lot to do to adjust to the new, vastly superior …
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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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