13 January 2011 - Complyport UK Consultancy Service

Remuneration Code

A ‘thank you’ to those Complyport clients that submitted their comments and views to us on the proposed wordage of the Remuneration Code as set out in consultation paper CP10/19. […] [...]

Remuneration Code & Disclosure Obligations

When refining their Remuneration policies, firms are reminded of the need not to overlook the corresponding disclosure requirements-see Regulatory Roundup 23 for an overview based upon the then consultation paper […] [...]

Competence & Ethics

The FSA has released policy statement PS10/18 (‘Competence and ethics’) which was a follow up to the similarly named consultation paper CP10/12 – see Regulatory Roundup 16 for further details. […] [...]

Fines 2010

It has been a bumper year for FSA fines, with a total of £89,121,281.50. £50m of that sum was down to actions taken against JP Morgan (client money failings) and […] [...]

UCITS IV

The FSA and HM Treasury have issued a joint consultation on the implementation of UCITS IV. As will be known, there has been an increasing interest in UCITS since ‘the […] [...]

Large Exposures

A reminder to firms that the large exposures regime no longer applies to BIPRU limited licence/activity firms-see BIPRU 10.1.1R and Regulatory Roundup 19 for details. Firms that are still subject […] [...]

Telephone Numbers

A firm is required, on an annual basis, to check the accuracy of its standing data (defined in the attached link) on the FSA website within 30 business days of […] [...]

Derivative Risk

The FSA has published proposed guidance on derivative risk management practices following a survey of twelve asset managers. Although a ‘derivative risk management process’ is normally associated with authorised funds […] [...]

Day: 13 January 2011

Remuneration Code

Remuneration Code & Disclosure Obligations

Competence & Ethics

Fines 2010

UCITS IV

Large Exposures

Telephone Numbers

Derivative Risk

INSIGHTS & EXPERTISE

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