12 June 2014 - Complyport UK Consultancy Service

Changes to Dealing Commission Rules

Regulatory Roundup 52 included an article on the FCA’s consultation (CP13/17) on proposed changes to the rules on the use of dealing commission (COBS 11.6). The recently published Policy Statement […] [...]

Submission of Annual Accounts

Under SUP 16.12 firms are required to send various data item returns to the FCA, most of which are submitted electronically. Annual report and accounts are an exception in that […] [...]

Country by Country Reporting

A reminder to those firms subject to CRD IV of the 1 July 2014 deadline in respect of the first ‘Country by Country’ disclosure – see Regulatory Roundup 52. This […] [...]

AIFMD: Authorisation Deadline Approaches

Alternative Investment Fund Managers making use of the transitional provisions within the AIFMD are reminded that the deadline for the submission of an application for authorisation is 22 July 2014. […] [...]

MiFID II

Back in November 2011, Regulatory Roundup 36 contained an article on the long-awaited draft for a revised MiFID (MiFID II). Around two and a half years later we have now […] [...]

Remuneration under CRD 4

As will be known, SYSC 19A concerns the ‘CRD 4 Remuneration Code’ which applies to the category of staff set out in SYSC19A.3.4 e.g. staff engaged in control functions – […] [...]

Complyport’s New COREP Reporting Service

As a consequence of falling under CRD IV, IFPRU firms have to submit their COREP returns to the FCA in XBRL format in line with European requirements. The first submission […] [...]

Day: 12 June 2014

Changes to Dealing Commission Rules

Submission of Annual Accounts

Country by Country Reporting

AIFMD: Authorisation Deadline Approaches

MiFID II

Remuneration under CRD 4

Complyport’s New COREP Reporting Service

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