16 December 2011 - Complyport UK Consultancy Service

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 ups which may find traditional bank financing difficult. Currently there are no specific EU rules relating to fund-raising by venture [...]

Market Abuse Guidance

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 subject of the general market practice of disclosure of certain inside information by brokers was raised. The specific area of [...]

Pillar 3 Disclosure Enhancements

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 effect from 31 December 2011 (a typo in the last edition showed the date as 2012). BIPRU 11.3.3(2) will be [...]

Financial Crime

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 been published. The guide will be relevant to all financial services firms and sets out the FSA’s expectations in relation [...]

Prudent Valuation Reporting

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 is that it is only applicable to UK banks or BIPRU 730K firms with balance sheet positions of greater than [...]

Energy Markets

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 a survey of UK energy market brokers. [...]

Prospectus & Transparency Directives

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 Directive (and the Transparency Directive). For the record, the changes derived from Amending Directive 2010/73/EU which came into force on [...]

Day: 16 December 2011

Venture Capital Funds

Market Abuse Guidance

Pillar 3 Disclosure Enhancements

Financial Crime

Prudent Valuation Reporting

Energy Markets

Prospectus & Transparency Directives

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