Venture Capital Funds
The EU Commission has published a proposal relating to venture capital funds. The latter are recognised as valuable sources of equity finance, particularly for small and medium-sized enterprises and start […] [...]
The EU Commission has published a proposal relating to venture capital funds. The latter are recognised as valuable sources of equity finance, particularly for small and medium-sized enterprises and start […] [...]
The FSA is proposing to amend some of its guidance in MAR 1.4 (improper disclosure) to reflect feedback received from the industry. In Market Watch 35 of last year the […] [...]
With reference to Regulatory Roundup 36 concerning the final rules to implement CRD 3, a reminder that the Pillar 3 disclosure obligations in BIPRU 11 are to be enhanced with […] [...]
Regulatory Roundup 31 included an article on FSA guidance on financial crime which had been published in the form of a consultation paper (CP11/12). The final guidance (PS11/15) has now […] [...]
A consultation paper (CP11/30: “Proposed Regulatory Prudent Valuation Return”) has been released by the FSA which introduces a new prudential return. However, the good news for the majority of firms […] [...]
The tenth annual analysis of activity in energy markets is now on the FSA’s web site. The paper covers the 12 months to 31 July 2011 and is based upon […] [...]
As will be known (see Regulatory Roundups 28 & 32) HM Treasury issued a consultation on the early implementation of certain changes brought about by a revision of the Prospectus […] [...]
The EU Commission has published the long-awaited draft for a revised MiFID (Markets in Financial Instruments Directive) – the current MiFID came into force 1 November 2007. The revised MiFID […] [...]
The EU has been churning out the work; in addition to the proposed changes to MiFID (see previous article) they have also issued proposed changes to the Market Abuse Directive […] [...]
CP11/21 – ‘Regulatory fees and levies: Policy proposals for 2012/13’ – sets out the FSA’s proposals for changes in the fees and levy regimes. For the avoidance of doubt the […] [...]
A recently published FSA Newsletter contained an article on recent observations from ARROW risk assessments. Although the Newsletter is targeted at ‘smaller wholesale insurance intermediaries’ the observations can be equally […] [...]
As may be recalled, the FSA issued a ‘Dear CEO’ letter in June (see Regulatory Roundup 31) on the matter of ‘suitability’ (COBS 9) which referenced a review of 16 […] [...]
The FSA has issued yet further guidance on the Remuneration Code to assist firms – see Regulatory Roundup 35 on previous recent guidance given – that will only be relevant […] [...]
Details of the FSA’s consultative guidance on the practice of ‘payment for order flow’ (PFOF) was included in Regulatory Roundup 35. The deadline for responses was November 9 but given […] [...]
Regulatory Roundup 34 included an article on the FSA’s consultative guidance on (a) the approach to be adopted when reporting transactions on Turquoise Derivatives and (b) the reporting of derivative […] [...]
PS11/12 – “Strengthening Capital Standards 3” – includes the final rules to implement CRD 3. The rules largely concern BIPRU 7 (Market Risk) and BIPRU 9 (Securitisation) and are unlikely […] [...]
Firms that submit a Retail Mediation Activities Return should be aware that the changes to section A (Balance sheet) that were due to come into force this 31 December will […] [...]
As advised in Regulatory Roundup 28, the FSA is in the process of reviewing the Transaction Reporting User Pack (TRUP), which is a useful source of reference for those firms […] [...]
As will be known (see Regulatory Roundup 33) the FSA’s Transaction Reporting System (TRS) was to be sold to the LSE. The latter already operates its own equivalent system (UnaVista). […] [...]
Due to continued expansion, Complyport has moved from its Cavendish Square offices to larger premises in Millbank. Our new address is: 4th Floor 4 Millbank Westminster London SW1P 3JA Our […] [...]
The Regulatory Gateway for Financial Promotions is Here
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Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024
Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024
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