09 December 2010 - Complyport UK Consultancy Service

FSA Fees

As will be known, FSA Fees are governed by which FSA Fee-Block(s) a firm falls under, e.g. Fund managers are A007 and ‘Advisory only firms and advisory, arrangers, dealers, or […] [...]

Regulatory Roundup 17 referred to proposed changes to COBS 2.2 (‘Information disclosure before providing services’) to require a firm, when managing investments for a professional client (that is not a […] [...]

Custody and Client Money

The proposed changes to CASS 6 (‘Custody rules’) and CASS 7 (‘Client money rules’) mentioned in Regulatory Roundup 17 came into force on 1 December. The changes impact the title […] [...]

CASS & a New Operational Oversight Function

There are big changes to CASS coming up which include a new control function and the need to complete a Client Money and Asset Return (‘CMAR’), As mentioned in Regulatory […] [...]

Mobile Phone Recording

The FSA has released PS10/17 – “Taping of mobile phones”, being feedback on CP10/7 (see Regulatory Roundup 11) together with the final rules. As you will know, COBS 11.8 concerns […] [...]

BIPRU 12 & Liquidity

A reminder that following the expiry of a transitional provision on 31 October, BIPRU 12.2 (‘Adequacy of liquidity resources’) now also applies to a non-ILAS BIPRU firm (see Regulatory Roundup […] [...]

Transaction Reporting and Chi-X

The FSA has released guidance consultation following the launch of a new type of instrument – centrally cleared contracts for difference. The guidance reminds us that these new instruments fall […] [...]

JMLSG III

The final version of the JMLSG Guidance Part III has been issued. The consultation version was published in May with the consultation period ending 9 July (see Regulatory Roundup 14 […] [...]

FATF Update

As many will be aware, The Financial Action Task Force (FATF) – which is the global standard setting body for anti-money laundering and combating the financing of terrorism – has […] [...]

Remuneration Disclosure

Whilst BIPRU firms consider the impact of CP10/19 and the Remuneration Code (see e.g. Regulatory Roundup 20), the FSA has released CP10/27 “Implementing CRD3 requirements on the disclosure of remuneration”. […] [...]

Day: 9 December 2010

FSA Fees

Stewardship Code

Custody and Client Money

CASS & a New Operational Oversight Function

Mobile Phone Recording

BIPRU 12 & Liquidity

Transaction Reporting and Chi-X

JMLSG III

FATF Update

Remuneration Disclosure

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