adam samuel: writing

"Your stuff is always useful but most of all readable and not afraid to give your views which is unusual and refreshing."
Tom Calvert-Lee, Head of Legal and Compliance, Gissings

Writing

Investment Management

Complaints | Treating Customers Fairly | Financial Promotions |
Financial Advice and the Sales Process | Banking | General Insurance |
Mortgages | Market Abuse and Money Laundering | Investment Management
Approved Persons | Corporate Management | Regulation Generally |
Ethics | Pensions Review | Other Topics and Older Pieces |

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If you would like to obtain any of the following publications please contact Adam.

For a complete list of all articles on Investment Management please download the pdf

"CP10/09 reforming CASS for UK authorised prime brokers" Complinet 9 April 2010
"Investment funds compliance - a new hot topic" Compliance Monitor March 2010
"Toronto Dominion, Brignall, mis-marking and inventing trades" Complinet 20 November 2007
CP 05-13 The FSA looking for meaningful retail disclosure of bundling and softing" Compliance Online, 3 October 2005
"PS04/23 Commentary: FSA trying to unbundle commission" 22nd November 2004
"The State of Independence- the FSA tests its new rules on research" Compliance Online 3 October 2005
"PS04/13 - The FSA goes soft on the Bundled Brokerage and Soft Commission" Compliance Online 10 May 2004



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