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Showing 9 out of 9 results
Highlights from Part 1 of the FSA's Consultation Paper on implementation of the AIFMD
The Alternative Investment Fund Managers Directive (the "AIFMD") is due to be implemented by Member States at a national level by 22 July 2013 and will …
Spain: using asset management companies as a tool to restructure and resolve financial institutions
The passage of Act 9/2012 of 14 November on the restructuring and resolution of financial institutions, and the adoption of Royal Decree-Law …
Suitability and systems: UK FSA fines wealth management firm as further thematic review work continues
Following on from its initial thematic work on wealth management firms, the FSA has fined Savoy Investment Management Limited (Savoy) £412,000 for …
Verifying changes to customer data, particularly when supplied by third parties
For firms that use data matching processes, a recent data protection case suggests that firms may wish to consider the robustness of …
Dear CEO: please confirm your asset management firm has identified and mitigated the risk of conflicts of interest between it and its customers
Conflicts of interest between asset managers and their customers: Identifying and mitigating the risks is a 'Dear CEO' publication in which the FSA …
London Stock Exchange - Government and LSE to develop proposals for a new route to IPO
BIS has announced that it has developed proposals with the LSE to attract entrepreneurs and high-growth companies to the UK. It says that the …
Marketing of funds in the United Arab Emirates - new regulations published
The Securities & Commodities Authority of the United Arab Emirates has introduced a set of new requirements for foreign funds wishing to market their …
Duties of brokers liquidating positions on behalf of clients in state of default
In the current economic climate, brokers will find the decision of the High Court in Euroption Strategic Fund Limited v Skandinaviska Enskilda Banker AB …
New UK Investment Trust Company Tax Regime - Final Regulations
The Investment Trust (Approved Company) (Tax) Regulations 2011 (the Regulations) have been published. Once the Regulations have been approved by …
Showing 9 out of 9 results
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