18 March 2014 - Complyport UK Consultancy Service

AIFMD: Remuneration

The FCA’s Quarterly Consultation CP14/4 proposes to introduce guidance on SYSC 19C (BIPRU Remuneration Code) to the effect that an AIFM that is also a BIPRU firm that complies in […] [...]

UCITS V

UCITS V is making steady, if slow, progress. A press release by the European Commission informs us that both the European Parliament and the European Council have reached agreement on […] [...]

The Quarterly Consultation (see earlier story, AIFMD: Remuneration) also contained proposals and other matters which will be of interest to AIFMs. IPRU(INV) 11 contains the prudential rules for both Collective […] [...]

Best Execution in Different Markets

Market Watch 45 confirms that the FCA is currently undertaking a thematic review of best execution in different markets. Although the findings will not be published until later this year, […] [...]

FATCA

HMRC has updated its Guidance Notes in respect of FATCA (‘Foreign Account Tax Compliance Act’). Strictly speaking, as far as UK firms are concerned, the Guidance Notes relate to the […] [...]

Suspicious Activity Reports

The National Crime Agency, whose remit now includes those areas which were previously the responsibility of SOCA, has recently produced guidelines on the submission of suspicious activity reports (SAR), including […] [...]

CRD IV: Remuneration and Risk Takers

The European Commission has adopted Regulatory Technical Standards on the identification of ‘material risk takers’, being those staff whose professional activities have a material impact on a firm’s risk profile […] [...]

EMIR: Risk Mitigation

As we know, certain risk mitigation techniques relating to OTC derivative trades not cleared by a CCP came into force on 15 September 2013, namely: Dispute resolution: a firm must […] [...]

Fixed Overheads

Those firms that remain categorised as BIPRU firms, as opposed to those subject to IFPRU, (see e.g. Regulatory Roundup 51) will be aware that calculation of the fixed overheads requirement […] [...]

Day: 18 March 2014

AIFMD: Remuneration

UCITS V

AIFMD: Other Matters

Best Execution in Different Markets

FATCA

Suspicious Activity Reports

CRD IV: Remuneration and Risk Takers

EMIR: Risk Mitigation

Fixed Overheads

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