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In this episode, associates Abbie Coleman (Commercial Disputes) and Luke Naylor (Corporate) provide a clear overview of collective investment schemes (CIS), including what they are, how they are defined under the Financial Services and Markets Act 2000, and how they are regulated in the UK.
The discussion explores the distinction between regulated and unregulated schemes, the role of the Financial Conduct Authority, and the significant risks associated with unregulated investments. The speakers also explain the financial promotion regime, including key exemptions for high net worth and sophisticated investors.
Finally, the episode examines investor protection mechanisms, including the Financial Ombudsman Service and the Financial Services Compensation Scheme, alongside practical guidance on potential civil claims and recent enforcement cases such as Harlequin Property and Argento Wealth.
A practical, whistle-stop guide for investors, advisers, and professionals navigating the regulatory perimeter around CIS.
Disclaimer: This content is provided for general information only and does not constitute legal or other professional advice. Appropriate legal or other professional opinion should be taken before taking or omitting to take any action in respect of any specific problem. Collyer Bristow LLP accepts no liability for any loss or damage which may arise from reliance on information contained in this material.
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Associate
Specialising in Commercial, Corporate, Financial regulatory, Financial Services and Private equity
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This episode provides a clear overview of how collective investment schemes are regulated in the UK, and what protections are available to investors when things go wrong.
Published 1 April 2026
COMMERCIAL DISPUTES & CORPORATE
PODCASTS & SOUNDBYTES
Associate
Associate
In this episode, associates Abbie Coleman (Commercial Disputes) and Luke Naylor (Corporate) provide a clear overview of collective investment schemes (CIS), including what they are, how they are defined under the Financial Services and Markets Act 2000, and how they are regulated in the UK.
The discussion explores the distinction between regulated and unregulated schemes, the role of the Financial Conduct Authority, and the significant risks associated with unregulated investments. The speakers also explain the financial promotion regime, including key exemptions for high net worth and sophisticated investors.
Finally, the episode examines investor protection mechanisms, including the Financial Ombudsman Service and the Financial Services Compensation Scheme, alongside practical guidance on potential civil claims and recent enforcement cases such as Harlequin Property and Argento Wealth.
A practical, whistle-stop guide for investors, advisers, and professionals navigating the regulatory perimeter around CIS.
Need some more information? Make an enquiry below.
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Podcast contributors
Associate
Specialising in Commercial, Corporate, Financial regulatory, Financial Services and Private equity
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