Category Archives: Compliance

note from OWL fresh from the FSA meeting last week

Posted on June 27, 2011 by admin

Suitability: reaction from the FSA meeting As those who were present will have heard, at the FSA’s Annual Public Meeting this morning, Margaret Cole showed that she was unable to answer a straight forward question about Suitability. When I asked … Continue reading →

Posted in Compliance, Markets and Regulations | Leave a comment

Our friends at OWL comment on Suitability

Posted on June 26, 2011 by admin

The Suitability Standard If you have not received the FSA’s Dear CEO letter on its wealth management review, you are either lucky or have an incompetent postman. Those who are not so fortunate would be unwise to ignore the obvious … Continue reading →

Posted in Compliance, Investors, Markets and Regulations, Risk Reporting | Leave a comment

Europe, Regulations and Hedge Funds… It is time to make plans, the clocks are ticking

Posted on March 28, 2011 by admin

Europe, Regulations and Hedge Funds… It is time to make plans, the clocks are ticking UCITS, AIFMD, Private Placement rules in Europe are very topical subject at the moment. And many people find it quite a daunting task to try … Continue reading →

Posted in Alternative Investments, Compliance, Hedge Funds, Investors, Markets and Regulations, UCITS | Tagged , , , , | Leave a comment

OWL quick note on SEC registration

Posted on March 10, 2011 by admin

Among other fine articles in FTfm this Monday, you will have noticed Countdown to Registration, which deals with the obligation for most investment managers in this country to obtain SEC registration by mid-July. Understandably, there is a great deal of … Continue reading →

Posted in Compliance, Markets and Regulations, Uncategorized | Tagged , , , | Leave a comment

An Offer from the wise OWL…

Posted on March 7, 2011 by admin

Advisory & Consulting Service Service description The service provides investment firms with a combination of regular and on-demand advice and briefings. Focused on FSA and European regulation, the purpose of the service is to assist firms to keep up to … Continue reading →

Posted in Compliance | Tagged | Leave a comment