HEDGE FUND LIQUIDATION CHECKLIST
This checklist sets out the main steps to be taken to liquidate a hedge fund structured as a Delaware limited…
SMCR CERTIFICATE AND ASSESSMENT FORM OF FITNESS AND PROPRIETY FOR CERTIFIED STAFF
This is a template SMCR certificate and assessment form to be used by an FCA solo-regulated UK Core SMCR firm…
UK INVESTMENT FUND STRUCTURES: AN OVERVIEW
There are different investment fund structures available in the UK, each designed to suit different needs. The main available fund…
ITALY
FSREG provides legal, tax and regulatory advice on Italian corporate, investment funds and financial services matters. We also provide consulting…
APPOINTED REPRESENTATIVE AGREEMENT
This is a precedent appointed representative agreement whereby an FCA authorised firm (the Principal) appoints another person (the Appointed Representative)…
WHISTLEBLOWING OVERVIEW
The following article provides an overview of the whistleblowing regime applicable in the UK. General The Public Interest Disclosure Act…
FCA RULES APPLICABILITY ANALYSIS: CORPORATE FINANCE FIRMS
This table lists the main rules contained in the FCA handbook and the MiFID Org Regulation (Regulation (EU) 2017/565) that…
SMCR TEMPLATE DOCUMENTS FOR UK SOLO-REGULATED CORE FIRMS
We have prepared template documents which contain everything an FCA authorised UK solo-regulated core firm needs to implement the Senior…
TAILORED FCA HANDBOOK – FROM £499 + VAT
Save your time by only looking at the rules that apply to you. Easy-to-use format. Regular updates available. Includes MiFID…
BEIJING
FS REG Limited – Representative Office Changwa Road No.18, Haidian District Beijing, China – Postcode 100120 Email: [email protected]