FSA Annual Report 2011/12
The FSA has published its annual report which outlines how the Regulator has performed against the priorities set out in its 2011/12 Business Plan (see Regulatory Roundup 28). As will […] [...]
The FSA has published its annual report which outlines how the Regulator has performed against the priorities set out in its 2011/12 Business Plan (see Regulatory Roundup 28). As will […] [...]
FATF has recently produced updated lists of problem jurisdictions which will be of interest to firms in general, and in particular to the MLROs. The first list concerns those countries […] [...]
In a recent speech David Lawton, Acting Director of Markets at the FSA, provided an update on the progress in implementing the proposed EU regulation covering the trading of OTC […] [...]
The well publicised LIBOR and EURIBOR issues at Barclays Bank led to an FSA fine of £59.5M. As a result of the Barclays affair the FSA Fines Table 2012 now […] [...]
It has been a Handbook requirement – COBS 2.2.3 – since 6 December 2010 that firms managing investments, other than venture capital firms, for professional clients (that are not natural […] [...]
A draft proposal for ‘UCITS V’ has been published by the European Commission. The proposal contains amendments to the current UCITS Directive (2009/65/EC) rather than a complete overhaul. Changes include […] [...]
PRIPs (packaged retail investment products) is an EU term as opposed to RIPs (retail investment products) which is an FSA term and will come into being in the forthcoming RDR […] [...]
A revision of the Insurance Mediation Directive is proposed with a view to raising standards. The revision is part of a package of three changes issued by the European Commission […] [...]
It may be recalled that ESMA issued a consultation paper towards the end of last year (see Regulatory Roundup 38) concerning guidance on certain aspects of the MiFID suitability requirements. […] [...]
In addition to ‘suitability’ – see separate article – ESMA has also published guidance on MiFID compliance function requirements. Our comments on the earlier consultation paper can be found in […] [...]
Firms considering the impact of the Alternative Investment Fund Managers Directive (AIFMD) will be aware that Article 13 requires the AIFM to have in place remuneration policies and practices for […] [...]
A couple of ‘Q&A’ style papers on UCITS related matters have been published by ESMA. The first one covers risk measurement and the calculation of global exposure and counterparty risk […] [...]
Currently the Takeover Code (the Code) applies to offers for companies which have their registered offices in the UK, the Channel Islands or the Isle of Man and if: (a) […] [...]
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