Tag Archives: ESMA

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
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Feb14

FSA discusses AIFMD

By now most people will have seen that FSA has published its first step in the process of implementing the Alternative Investment Fund Managers Directive, Discussion Paper 12/1. It would be fair to say that not everyone has found it …
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Posted in: AIFMD
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Nov24

Gold-Plating

Gold-Plating or What You Will   The Charles River research report published recently by the City of London Corporation (The Implications of the New Financial Regulatory Architecture) reveals that the financial services industry has a preference, namely that the FSA …
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Posted in: ESMA, FSA
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