23 December 2013 - Complyport UK Consultancy Service

AIFMD: Authorisation Deadline

The below is a recent AIFMD update that was sent to Complyport’s clients. “HM Treasury has just released a statement which differs from the FCA’s previously held view that any […] [...]

Dealing Commission Rules

As mentioned in Regulatory Roundup 51, the FCA has now released its consultation paper on the use of dealing commission – CP13/17. In November 2012 the then FSA published “Conflicts […] [...]

CRD IV: Country by Country Reporting

HM Treasury has published ‘The Capital Requirements (Country by Country Reporting) Regulations 2013’. The draft stems from Article 89 of the Capital Requirements Directive and impacts on all ‘institutions’ – […] [...]

EMIR – OTC Clearing and Third Country Provisions

Article 4 of EMIR places a clearing obligation in respect of certain OTC derivative transactions. Generally the obligation does not extend to such transactions between entities that are established in […] [...]

FCA Fees

The FCA has published its annual consultation paper on fees and levies – “Regulatory fees and levies: policy proposals for 2014/15” (CP13/14). As the title suggests the paper only covers […] [...]

Legal Entity Identifier

As mentioned in Regulatory Roundup 51, the EMIR reporting obligation begins on 12 February 2014. The details of what needs to be reported to a Trade Repository can be found […] [...]

Outsourcing Working Group

Regulatory Roundup 51 contained an article on the FCA’s recent thematic report on outsourcing in the asset management industry. Two key findings were inadequate oversight and inadequate contingency plans to […] [...]

Day: 23 December 2013

AIFMD: Authorisation Deadline

Dealing Commission Rules

CRD IV: Country by Country Reporting

EMIR – OTC Clearing and Third Country Provisions

FCA Fees

Legal Entity Identifier

Outsourcing Working Group

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