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to the Compliance Exchange. The objective of The Compliance Exchange is to provide a resource for compliance officers and other professionals engaged in the business of managing investments and for those who study, service or regulate investment business. The aim is to filter from the information jungle of the internet a maintained collection of links to selective and relevant information sources.
The Compliance Exchange (formerly the UK Compliance Officers' Website) was started in 1995 and is compiled and edited by Jonathan E Halsey, Head of Compliance for Old Mutual Asset Managers (UK) Ltd. which is regulated by IMRO and is a wholly owned subsidiary of Old Mutual plc. Old Mutual Asset Managers (UK) Ltd. is a member of the Fund Managers' Association.
In the United Kingdom it is necessary for those who conduct Investment Business (as defined in the UK's Financial Services Act 1986) to be authorised to do so. Authorisation can be obtained, under the overall supervision of HM Treasury and the Financial Services Authority (FSA), by achieving membership of one of the self regulatory organisations. Currently those organisations are the Securities and Futures Authority (SFA), the Personal Investment Authority (PIA) and the Investment Management Regulatory Organisation (IMRO). A compliance officer is the person employed by a bank, investment or securities firm to oversee compliance with the rules that govern their industry.
At the regulators page you can link to the homepages of investment and securities regulators. Check the authorisation status of firms; learn of recent disciplinary actions; read press releases, consultative documents and mission statements. Some regulators provide the text of their rulebooks online.