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Home » Archives for March 2013
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27th Mar 2013
FSA releases second consultation paper on AIFMD
Further information provided ahead of cut-over to FCA on 1 April
New status disclosure requirements for FCA cut-over
Reiterates more 'proactive' approach and highlights areas of interest such as conflicts and corporate access
Priority risks include design of certain products and services, lack of oversight of distribution channels and poor understanding of risk and return
FSA looking into issue of firms using clients' money to pay for corporate access
HM Treasury has updated its list of problem jurisdictions
Adoption of EU-wide passport and uniform requirements for such collective investment undertakings
Professional Clients and the Financial Ombudsman Service
Background Changes are being made to the Disputes Resolution Sourcebook: Complaints Sourcebook (DISP) of the FCA Handbook. The...
Fourth Money Laundering Directive: Proposed Amendments
As we know the UK (and other Member States) have until 26 June 2017 to implement the Fourth...
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