FSR and Corporate Crime Notes
Tag: ucis
Showing 3 out of 3 results
06 May 2015
Hong Kong regulator loses battle on the fight against unauthorized advertisement, but the war continues
On 20 March 2015, the Hong Kong Court of Final Appeal (CFA) allowed the appeal by Pacific Sun Advisors Limited and its Chief Executive Officer, Mantel, …
20 May 2013
UK: FCA to exclude Venture Capital Trusts from restrictions on promotion of UCIS?
The Economic Secretary to the Treasury has confirmed that the Financial Conduct Authority (FCA) is working towards publishing its final policy statement …
08 May 2013
UK: FSA statement on CP12/19: restrictions on the retail distribution of UCIS and close substitutes
The FCA has published an update on its approach to last August’s consultation on proposed restrictions to the marketing of unregulated collective …