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Tag: Marketing

Complyport UK Consultancy Service > Marketing
  • 20 March 201826 June 2018
  • European Regulation

Proposed changes to the AIFM and UCITS Directives

Of relevance to: All UCITS Management Companies, AIFMs and those managing AIFs Key date: Adoption planned by May 2019 The European Commission (“EC”) has published a proposed directive and a […] [...]

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  • 26 March 201528 June 2016
  • Corporate Governance

Financial Promotions – Social Media

The use by firms of ‘social media’ e.g. Facebook, Twitter etc. has come under the FCA microscope with the publication of Finalised Guidance FG15/4  (“Social media and customer communications“). From […] [...]

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  • 20 November 201429 July 2016
  • European Regulation

AIFMD Passport

Under the AIFMD as it currently stands, a marketing passport is only available to EEA AIFMs marketing EEA AIFs (strictly speaking the AIFMD only refers to EU AIFMs etc. although […] [...]

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  • 16 July 201402 August 2016
  • European Regulation

AIFMD: Marketing Reminder

As mentioned in Regulatory Roundup 55 the AIFMD transitional period ends 21 July 2014 and after that date Alternative Investment Fund Managers should either be authorised under the AIFMD or […] [...]

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  • 19 November 201331 August 2016
  • Latest News

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 […] [...]

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  • 02 November 201216 September 2016
  • Corporate Governance

Digital Financial Promotions

The FSA’s Clive Gordon, Conduct Risk, gave a speech on financial promotions, but with particular emphasis on ‘digital media’ – which would encompass social networking websites, forums, blogs, Twitter and […] [...]

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  • 31 August 201216 September 2016
  • Corporate Governance

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. […] [...]

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  • 31 August 201216 September 2016
  • Latest News

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 […] [...]

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  • 13 June 201221 October 2016
  • Latest News

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 […] [...]

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  • 17 April 201221 October 2016
  • Corporate Governance

Financial Promotions

The FSA has published ‘Finalised guidance’ on financial promotions. ‘Financial Promotions , Fund Performance and Image Advertising’ is probably self-explanatory from its title. For most investment firms, the performance rules […] [...]

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  • 26 July 201110 February 2017
  • Corporate Governance

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 […] [...]

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  • 26 July 201110 February 2017
  • Corporate Governance

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 […] [...]

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  • 04 July 201110 February 2017
  • Corporate Governance

Quarterly Consultation

Quarterly consultation CP11/11 contains details of various proposed changes to the Handbook. Two particular changes will be relevant to most firms. A change to the submission of written reports will […] [...]

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  • 06 May 201113 February 2017
  • Latest News

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 […] [...]

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  • 01 April 201113 February 2017
  • Corporate Governance

Prospectus Directive Changes

PR 1.2 of the Handbook reminds us of the need to issue a prospectus before transferable securities are offered to the public, subject to the certain exemptions listed. The requirement […] [...]

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  • 09 August 201011 May 2017
  • Latest News

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 […] [...]

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  • 19 May 201016 June 2017
  • Corporate Governance

Alternative Investment Fund Managers Directive

On Monday 17 May 2010 the European Parliament’s Economic and Monetary Affairs Committee (“ECON”) voted 33 votes for and 11 against for the latest amendments to the European Parliament’s draft […] [...]

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  • 15 April 201028 June 2017
  • Latest News

Quarterly Consultation (CP10/10)

The FSA has released a 122 page bumper edition of the latest Quarterly Consultation (CP10/10). Proposed changes in SUP include a rewording to SUP 10 Annex1 (FAQs) so removing the […] [...]

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  • 26 February 201028 June 2017
  • Corporate Governance

AIFM (cont)

The Alternative Investment Fund Managers Directive proposal saga continues to rumble on (the original draft Directive was issued at the end of April last year). After the ‘Swedish Proposal’ we […] [...]

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  • 16 October 200927 July 2017
  • Latest News

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) […] [...]

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INSIGHTS & EXPERTISE

Proactive monitoring and assessment of international Regulatory News and Industry Developments.
  • The Regulatory Gateway for Financial Promotions is Here

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The Regulatory Gateway for Financial Promotions is Here

  • Navigating KYC Challenges in 2024: Insights from the Q&A Session

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Navigating KYC Challenges in 2024: Insights from the Q&A Session

  • Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024

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Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024

  • Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024

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Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024

NEWS & EVENTS

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In-Person Training Course: Your MLRO Training Day

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