The Unibanco Letters - Dual-Hatting Regulations and Global Enforcement

UK Law: Licensing of Fund Management Companies (Cont.) List of regulated activities under FSMA include: . Arranging deals in investments Advising on investments • Dealing in investments as principal or agent • Counseling on discretionary investment management of assets belonging to another . person (both separate accounts and pooled vehicles) Managing an alternative investment fund (AIF) or undertakings for collective investment in transferable securities (UCITS) fund • Acting as trustee or depositary of an AIF or UCITS fund Operating a collective investment scheme Safeguarding and administering investments Morgan Lewis 55

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