Collective Investment Schemes - Complyport UK Consultancy Service

Money Market Funds Regulations 2018

The Money Market Funds Regulations 2018 (the “UK MMF Regulations”) are made in relation to EU Regulation 2017/1131 on money market funds (“MMF Regulation”) which will apply in the UK […] [...]

FCA CP18/4 The European Money Market Funds Regulation

Of relevance to: All firms managing and/or marketing, advising on and/or distributing money market funds Key date: Comments to FCA by 23 March 2018 The EU Money Market Funds (“MMF”) […] [...]

UCIS: FCA Actions

The FCA, like the FSA, continues to have an interest in the promotion of unregulated collective investment schemes (UCIS) – see e.g. FCA Risk Outlook 2013 covered in Regulatory Roundup […] [...]

Restrictions on UCIS and ‘Close Substitutes’

The FCA has published policy statement PS13/3: “Restrictions on the retail distribution of unregulated collective investment schemes and close substitutes” and will be of interest to both discretionary portfolio managers […] [...]

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 […] [...]

FSA Annual Report 2011/12

The FSA has published its annual report which outlines how the Regulator has performed against the priorities set out in its 2011/12 Business Plan (see Regulatory Roundup 28). As will […] [...]

UCIS Marketing Woes

Regular readers of the FSA’s website will be aware of its continuing interest in unregulated collective investment schemes (UCIS) e.g. they feature in the FSA’s Conduct Risk Outlook 2012 in […] [...]

New Legal Forms of Authorised CIS

Currently the only authorised funds are authorised unit trusts (AUT) or ICVCs (which are OEICs that are authorised). The proposal is to create a new fund vehicle termed an ‘authorised […] [...]

Conduct Risk Outlook 2012

The FSA’s Conduct Risk Outlook for 2012 was published in March. It may be recalled that the Regulator used to issue an annual Financial Risk Outlook until 2011 when, in […] [...]

FSA Action on Unregulated Collective Investment Schemes

Regulatory Roundup 29 mentioned the continuing interest of the FSA in the marketing of unregulated collective investment schemes (UCIS) and the penalty of £35,000 imposed on Specialist Solutions Public Limited […] [...]

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 […] [...]

Unregulated Collective Investment Schemes

Evidence that the FSA’s interest in the marketing of unregulated collective investment schemes (UCIS) continues – see Regulatory Roundup 19 – in the form of a Final Notice issued to […] [...]

Unregulated Collective Investment Schemes

Regulatory Roundup #3 advised that the FSA was looking at the promotion of unregulated collective investment schemes (‘UCIS’). The Regulator has now published its findings alongside a separate document on […] [...]

Unregulated Collective Investment Schemes

The FSA is currently looking at the promotion and advice process in respect of unregulated collective investment schemes and is sending out letters (which will refer to an on-line questionnaire) […] [...]

Tag: Collective Investment Schemes

Money Market Funds Regulations 2018

FCA CP18/4 The European Money Market Funds Regulation

UCIS: FCA Actions

Restrictions on UCIS and ‘Close Substitutes’

New Restrictions on UCIS

FSA Annual Report 2011/12

UCIS Marketing Woes

New Legal Forms of Authorised CIS

Conduct Risk Outlook 2012

FSA Action on Unregulated Collective Investment Schemes

Unregulated Collective Investment Schemes

Unregulated Collective Investment Schemes

Unregulated Collective Investment Schemes

Unregulated Collective Investment Schemes

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