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Results: 1-10 of 18

Financial Regulatory Developments 11 April - Cases
  • Dentons
  • United Kingdom
  • April 11 2014

The High Court has held a preliminary hearing in a case FCA brought against the promoters and operators of four investment schemes. The question was


IMA responds on contractual schemes
  • Dentons
  • United Kingdom
  • March 23 2012

IMA has responded to Treasury’s consultation on contractual schemes for collective investment


FSA gets land banking judgment
  • Dentons
  • United Kingdom
  • March 23 2012

FSA has won a case in the High Court in which the court held one individual and two businesses were operating a collective investment scheme without authorisation


Treasury consults on tax transparent funds (TTFS)
  • Dentons
  • United Kingdom
  • January 13 2012

Treasury is consulting on the introduction of a new type of collective investment scheme which will be a tax transparent contractual scheme


FSA fines for fund sales failures
  • Dentons
  • United Kingdom
  • November 11 2011

FSA has fined Coutts & Company £6.3 million for failings in connection with the sale of an AIG fund


FSA speaks on fund regulation
  • Dentons
  • United Kingdom, European Union
  • November 4 2011

Sheila Nicoll spoke on EU fund management regulatory developments


FSA fines and bans over UCIS
  • Dentons
  • United Kingdom
  • September 23 2011

FSA has fined Rockingham Independent Limited £35,000 and partially banned two of its directors and one adviser for selling unregulated collective investment schemes (UCIS) and structured products where the sale may have been unsuitable


FSA confirms tribunal backing on hedge fund manager ban
  • Dentons
  • United Kingdom
  • August 19 2011

FSA has confirmed the Upper Tribunal has ordered it to fine Michiel Weiger Visser £2 million and Oluwole Modupe Fagbulu £100,000 and ban them both from performing any role in regulated financial services for breaching Principle 1 of the FSA’s Statements of Principle for Approved Persons and for engaging in market abuse


Commission consults on social investment funds
  • Dentons
  • European Union
  • July 22 2011

The Commission has published a working paper exploring whether it can make it easier for EU investment funds to target “social businesses” (those targeting social, ethical or environmental goals as their primary corporate objective), while also helping investors to access these funds


FSA gets arrest for unauthorised CIS involvement
  • Dentons
  • United Kingdom
  • July 1 2011

FSA announced the arrest of one individual following an investigation relating to involvement in an unauthorised collective investment scheme (CIS