31 August 2012 - Complyport UK Consultancy Service

New Restrictions on UCIS

Regular Readers of Regulatory Roundup will be aware of both the FSA’s continuing concerns on the promotion of unregulated collective investment schemes (UCIS) and its readiness to take relevant regulatory […] [...]

Short Selling Changes

As will be known – e.g. see Regulatory Roundup 21 – the European Commission has the goal of harmonising short selling rules. EU 236/2012, being a Regulation ‘on short selling […] [...]

Remuneration Code: Changes to Guidance

The FSA has issued amended consultative guidance on proportionality in relation to the Remuneration Code (the current guidance was issued last December). At present the FSA’s guidance provides for the […] [...]

Remuneration Code: Change to Templates

The FSA has taken the opportunity to update the self-assessment templates and code staff tables that can be found on its website. Use of a template in the drafting of […] [...]

CASS Update

The FSA is consulting (CP12/15) on changes in two areas of CASS: firm classification and oversight (CASS 1A) and mandates (CASS 8). The changes to CASS 1A will include clarification […] [...]

Hedge Funds and Systemic Risk

The FSA has published its latest report (see e.g. Regulatory Roundup 33 for details of the 2011 report) following the results of the Hedge Fund Survey (HFS) and Hedge Fund […] [...]

Capital Instruments: Pre-Issuance Notification

Firms that are subject to GENPRU are reminded that they must notify the FSA before issuing any capital instruments that they wish to include as regulatory capital. The rules, and […] [...]

Soliciting in the US

In a statement made by Mary Schapiro, Chairman of the SEC, the possibility of removing the current prohibition against general solicitation and general advertising in certain securities offerings was raised. […] [...]

Day: 31 August 2012

New Restrictions on UCIS

Short Selling Changes

Remuneration Code: Changes to Guidance

Remuneration Code: Change to Templates

CASS Update

Hedge Funds and Systemic Risk

Capital Instruments: Pre-Issuance Notification

Soliciting in the US

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