Compliance
Market Abuse- Are the stakes being raised?
An FSA priority, theme visits and a discussion of the legal position
Compliance
IMS Consulting Launches Series of Hedge Fund Compliance
Seminars
Compliance
Managing your compliance risk via regulatory knowledge
New dates announced for 'Introduction to Compliance' training course
Compliance
Market Conduct: June 2007
Shareholder activism . . . with discretion and sincerity
Compliance
FSA cold calling of traders: will you hang on the telephone?
FSA and SEC act to confront market abuse
Compliance
IMS and Buzzacott announce Joint Venture
IMS and Buzzacott announce Joint Venture
Compliance
Mandatory Voice Recording: the discretionary investment manager's exception.
The safest of harbours?
Compliance
IMS Consulting launches 'Introduction to Compliance' training course
IMS Consulting launches 'Introduction to Compliance' training course
Compliance
IMS Wins 'Best Compliance Consultancy 2008'
IMS Wins 'Best Compliance Consultancy 2008'
Compliance
Implementation of the 3rd EU Money Laundering Directive
Implementation of the 3rd EU Money Laundering Directive
Compliance
IMS Asset Management Regulatory Update: 2007 Review
IMS Asset Management Regulatory Update: 2007 Review
Compliance
IMS Asset Management Regulatory Update October 2007
IMS Asset Management Regulatory Update October 2007
Compliance
FSA consults on greater CfD disclosure
FSA consults on greater CfD disclosure
Compliance
IMS Asset Management Regulatory Update September 2007
Update September 2007
Compliance
IMS Asset Management Regulatory Update July 2007
Update July 2007
Compliance
IMS Asset Management Regulatory Update June 2007
Update June 2007
Compliance
Market Abuse Systems and Controls: Just do it
Market Abuse Systems and Controls: Just do it
Compliance
IMS Consulting hires senior FSA Executives to expand UK team
Press Release
Compliance
Market abuse and conflicts of interest, key areas of FSA focus in private equity
Market abuse
Compliance
2008 - Issue 1
Welcome to first issue for 2008 of the Monthly Newsletter from IMS Consulting, the largest independent asset management and securities regulatory consultancy in the UK, with offices in London, New York and Connecticut. Our newsletter sets out some of the more important regulatory changes for asset managers and securities firms in the past month, focussing on FSA and SEC related developments.
Compliance
IMS Asset Management Regulatory Update May 2007
Update May 2007
Compliance
MiFID
Summary of Key Implications of the Markets in Financial Instruments Directive
Compliance
IMS Asset Management Regulatory Update August 2006
Update August 2006
Compliance
IMS Asset Management Regulatory Update March 2007
Update March 2007
Compliance
IMS Asset Management Regulatory Update January 2007
Update Jan 2007
Compliance
IMS Asset Management Regulatory Update February 2007
Update February 2007
Compliance
IMS Asset Management Regulatory Update December 2006
Update December 2006
Compliance
IMS Asset Management Regulatory Update November 2006
Update November 2006
Compliance
The Capital Requirements Directive and the Markets in Financial Instruments Directive
Implementing the "Common Platform"
Compliance
IMS Asset Management Regulatory Update October 2006
Update October 2006
Compliance
Simmons and Simmons;
Ten things every FSA Regulated Hedge Fund Manager needs to know about MiFID
Compliance
Side Letters
Regulatory Update September 2006
Compliance
IMS Asset Management Regulatory Update September 2006
Update September 2006
Compliance
Market Abuse Focus
IMS News
Compliance
FSA outlines grounds for leniency for co-operating market abuse suspects:
will the grass be greener on the other side?
Compliance
Complacency and Criminals:the FSA's thematic review of controls over inside information relating to public takeovers
Market Conduct: July 2007
Compliance
IMS Asset Management Regulatory Update April 2007
Update April 2007
