WebbMarkets Act 2000 (FSMA), as amended, to prepare and maintain a memorandum describing how they will work together in exercising their functions in relation to Recognised Investment Exchanges (RIEs) and Recognised Clearing Houses (RCHs). WebbRecognised Investment Exchanges REC 1 Introduction 1.1 Application 1.2 Purpose, status and quotations, notes or references REC 2 Recognition requirements 2.1 Introduction 2.2 …
Louise Rabeux - Lead Associate - Senior Lawyer / General
Webb13 mars 2024 · Recognised funds. A fund that is established outside the UK must be recognised by us to be promoted to retail investors in the UK. Funds established in countries other than the UK must be recognised under section 272 of the Financial Services and Markets Act 2000 (FSMA) or entered into the temporary marketing … Webb22 okt. 2024 · For example, it does not apply to Recognised Investment Exchanges (RIEs), Credit Ratings Agencies (CRAs) or payments and e-money firms. This is because they are not authorised under FSMA, and are instead subject to a separate process of recognition (RIEs), registration (CRAs), or authorisation and regulation (payment and e-money firms). mdphdコース
List of EEA market operators applying to become a recognised
Webb15 nov. 2024 · The retail equivalence regime in the OFR and s272 FSMA applies to both a collective investment scheme as a whole, and to parts of a scheme, i.e. the sub-funds. Application for recognition is to be made at sub-fund level - this is because sub-funds under the same umbrella may differ in their characteristics, meaning that they may not all fit … Webb(a) “ recognised investment exchange ” means an investment exchange in relation to which a recognition order is in force; [F2 (b) “recognised clearing house” means— (i) a … Webb14 dec. 2024 · The term ‘recognised stock exchange’ occurs throughout the Taxes Acts and in various tax regulations. For example, it’s used in the definition of investments … md-phdコース 大学