Collective Investment Schemes|Marketing - Complyport

UCIS: FCA Actions

Recent sanctions and reminder of new rules in 2014

FSA proposes amendments to COBS 4.12 reducing the categories of investors to whom firms can promote unregulated collective investment schemes

FSA fines director £60k for failings in relation to promotion of UCIS and prohibits him from continuing as an approved person

Final Notice issued to firm for failures relating to marketing of UCIS

FSA findings and report on good and poor practice

Financial promotions COBS compliance