24 April 2014 - Complyport UK Consultancy Service

FCA Business Plan 2014/15

The FCA is now a year old and has recently published its second Business Plan, which provides an insight into the areas that the FCA will concentrate on, including by […] [...]

FSCS Levy

The FSCS has published its final levy for 2014/15, being £276m compared to £285m for the previous year. Although the final levy comes in below the earlier indicative levy for […] [...]

As mentioned in the FCA Business Plan article, the FCA’s Annual Funding Requirement (‘AFR’) is identified as £446.4m. A detailed analysis of proposed fees is contained in CP14/6 ‘FCA Regulated […] [...]

FCA Risk Outlook 2014

The publication of the FCA Business Plan 2014/15 (see separate article in this Regulatory Roundup) was accompanied by the FCA Risk Outlook 2014. The FCA Risk Outlook identifies potential issues […] [...]

Supervision of C4 Firms

When the FCA took over from the FSA, it introduced a new approach to supervision, albeit that for many small firms it may have been difficult to spot any practical […] [...]

CRD IV: COREP Reporting

Those firms that fall within CRD IV should have received a FCA notification concerning a delay in the final submission date for the first quarterly COREP report by a month […] [...]

Hedge Fund Survey

The latest (March 2014) Hedge Fund Survey has been released by the FCA. The twice-yearly survey is based upon voluntary participation by the hedge fund industry – the current version […] [...]

AIFMD: ESMA Q&A

ESMA has updated its Q&A on the application of AIFMD. The publication is a modest nine pages and addresses questions in respect of notification of AIFs, reporting to national competent […] [...]

FSCS (and FOS) Exemption

Referring to the article on the FSCS levy a reminder to firms to ensure that, where applicable, they have submitted exemption forms in respect of FSCS and FOS levies. A […] [...]

Complyport News

Complyport has appointed Paul Grainger as CEO replacing Martin Herriot who left the firm in 2013. Paul Grainger takes over from Richard Eagle who has very successfully acted as interim […] [...]

Day: 24 April 2014

FCA Business Plan 2014/15

FSCS Levy

FCA Regulated Fees and Levies

FCA Risk Outlook 2014

Supervision of C4 Firms

CRD IV: COREP Reporting

Hedge Fund Survey

AIFMD: ESMA Q&A

FSCS (and FOS) Exemption

Complyport News

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