IMS is the UK's largest asset management compliance consultancy and hence we are confident of our ability to do this since we are in constant contact with the regulators. If you have any suggestions for improvements or would like to be taken off this list for future mailing please contact Susanne Petrie on sp@imsconsulting.co.uk
| IMS launches new Due Diligence service |
IMS is delighted to officially launch their Due Diligence product this month. Previously, IMS has operated on a bespoke basis for a number of high profile multi-managers but the realisation of further demand for this product has prompted an expansion. The Due Diligence service is designed to help groups more fully understand the risks they are taking on when appointing or recommending an investment manager.
Martin Kelly who is spearheading this product would be more than happy to come and discuss this in more detail, just phone 020 7408 2448 or email: mk@imsconsulting.co.uk or find out more online at www.imsconsulting.co.uk/services/dd.html |
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| MiFID and what it means for you |
| IMS explains the Markets in Financial Instruments Directive and sheds light on the application of the new rules, discussing the potential implications they might have for you. |
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| Bundled Brokerage and Soft Commission Changes – Be Prepared |
| A discussion of the new rules covering the use of dealing commission to pay for goods and services which came into force on 1st January. We explain what these changes mean for you and highlight areas of concern to help you remain in compliance with the new rules. |
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| The FSA’s Discussion of Risk and Regulatory Engagement |
| Look out for our article in AIMA Journal Spring Issue on the FSA’s new approach towards hedge funds. We provide a clear explanation of the likely changes involving information demanded from hedge fund managers, market abuse, operational risk, valuation of funds and SYSC and subsequent implications for your firm. We also discuss the likely implications of FSA and SEC dual regulation. The FSA intends to issue a formal statement in March and a consultation paper in April which will confirm these changes. We will keep you fully informed of these developments. |
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| Still Fighting Against the SEC |
| Grace Lee from IMS Consulting Inc discusses the implications of complying with the SEC’s new approach including it’s newly adopted “look through” provision under Rule 203(b)(3) of The Investment Adviser Act of 1940. She highlights and discusses issues these changes have brought about including current debates surrounding the SEC’s new interpretation of what counts as a “client”. |
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