26 July 2011 - Complyport UK Consultancy Service

Remuneration Code – Further Guidance

The FSA has issued further consultative guidance on the application of the Remuneration Code (see Regulatory Roundups 29 and 24 for details of previously released guidance and a general summary of […] [...]

Submissions to FSA

A couple of complaints against the FSA act as a useful reminder that the onus for submission to, and receipt by, the FSA of returns, notifications etc. lies with the […] [...]

FSA and Inadequate Procedures

The previous article concerning submissions to the FSA is based upon published complaints against the FSA. One other published complaint concerned an individual’s dispute with the FSA over what was […] [...]

AIFMD Comes Into Force

The Alternative Investment Fund Managers Directive (AIFMD) – see past Regulatory Roundups e.g. No. 15 – has taken a long time coming (the original proposal was back in April 2009) […] [...]

AIFMD & ESMA

The European Securities and Markets Authority (ESMA – previously CESR) has published a 430+ page consultation on implementing measures for the AIFMD. Issues addressed include ‘General provisions’ (e.g. organisational requirements; […] [...]

Prospectus Directive Update

As was mentioned in Regulatory Roundup 28 changes are proposed to the Prospectus Rules (which are contained in the PR section of the Handbook) as a result of (early) implementation […] [...]

FSA and Financial Promotions

There have been two recent publications from the Regulator on ‘financial promotions’. The first is consultative guidance on the topic of ‘prominence’ i.e. making sure that important details such as […] [...]

RDR: Delay Recommended

The FSA’s Retail Distribution Review (RDR) will have an impact on retail advisors (not just IFAs but advisers within stockbrokers, asset managers, banks etc.) in respect of commission payments (to […] [...]

Unregulated Collective Investment Schemes

FSA actions in connection with Unregulated Collective Investment Schemes (UCIS) have featured a few times in Regulatory Roundups. Mr P Banfield and Mr A Moss, the Directors of (and in […] [...]

Day: 26 July 2011

Remuneration Code – Further Guidance

Submissions to FSA

FSA and Inadequate Procedures

AIFMD Comes Into Force

AIFMD & ESMA

Prospectus Directive Update

FSA and Financial Promotions

RDR: Delay Recommended

Unregulated Collective Investment Schemes

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