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 […] [...]
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 […] [...]
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 […] [...]
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’ – […] [...]
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 […] [...]
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 […] [...]
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 […] [...]
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 […] [...]
The Regulatory Gateway for Financial Promotions is Here
Navigating KYC Challenges in 2024: Insights from the Q&A Session
Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024
Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024
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