27 November 2012 - Complyport UK Consultancy Service

AIFMD Update: CP12/32

The FSA has issued the first of two consultation papers on the AIFMD – CP12/32 “Implementation of the Alternative Investment Fund Managers Directive, Part 1” (Part 2 is expected in February 2013). The consultation paper has not been driven by any major progress on the AIFMD in Europe, but rather [...]

Asset Managers: An Important Message

Between June 2011 and February 2012 the FSA conducted thematic reviews of asset management firms on the subject of managing conflicts of interest. The Regulator identified many failings, which may result in enforcement actions against some firms, and has felt compelled to communicate the findings to a wider audience. The [...]

Financial Crime and Asset Management

The asset management sector appears to be popular with the FSA at the moment (see article on ‘Conflicts of Interest’ in this Regulatory Roundup), given a recent speech by Tracey McDermott, FSA Director of Enforcement and Financial Crime Division. Although financial crime is of relevance to all firms within the [...]

FSA: Client Assets Unit

Firms that are subject to CASS may find the recent presentation given by Richard Sutcliffe, FSA Head of Client Assets Unit, worth reviewing as it serves to reinforce the FSA’s continuing interest in this area. We are advised that there are now about 40 people working in the CASS Unit [...]

EMIR Progress

David Lawton, FSA Director of Markets, took the opportunity to remind firms about the progress of the European Market Infrastructure Regulation (EMIR). Since the publication of ESMA’s Consultation Paper on draft technical standards (see Regulatory Roundup 42), ESMA has issued its final report. As a reminder, EMIR will impose: a [...]

Complyport Wins Thomson Reuters Award

Complyport is delighted to announce it has been awarded the 2012 Best Consulting Firm of the Year at the 8th Annual Thomson Reuters Accelus Compliance Awards – beating five other firms in the category. Martin Herriot, Chief Executive of Complyport, said that the award recognised the firm’s commitment to providing [...]

Day: 27 November 2012

AIFMD Update: CP12/32

Asset Managers: An Important Message

Financial Crime and Asset Management

FSA: Client Assets Unit

EMIR Progress

Complyport Wins Thomson Reuters Award

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