28 August 2014 - Complyport UK Consultancy Service

Best Execution and Payment For Order Flow

Following a thematic review of best execution (see Regulatory Roundup 53) the FCA has now published the results of its findings – TR14/13: “Best execution and payment for order flow”. […] [...]

New Remuneration Code

The FCA and PRA have issued a joint Consultation Paper: ‘Strengthening the alignment of risk and reward; new remuneration rules’ (CP14/14 – or CP15/14 from a PRA perspective). As will […] [...]

A reminder to firms that the FCA’s Online Notifications and Applications system (ONA), under which applications for Approved Persons, Variations of Permission etc. are submitted, will be largely replaced by […] [...]

AIFMD Reporting: ESMA Guidelines

ESMA updated its AIFMD Reporting Guidelines earlier this month which AIFMs may find useful. For the benefit of those firms that to date have not made reference to the ESMA […] [...]

Recovery and Resolution

IFPRU 2.5 (‘Recovery and resolution plans’) is applicable to all IFPRU investment firms and has been in force since the beginning of this year. It must qualify as one of […] [...]

Retrospective Application of Rules

Amongst the various areas for action in the FCA’s Business Plan for 2014/15 that was published in March was work to be carried out in respect of the ‘expectations gap’. […] [...]

EMIR Review

With reporting under EMIR having been in place for around six months, the FCA has undertaken an EMIR review to find out how industry dealt with the new obligations. It […] [...]

Day: 28 August 2014

Best Execution and Payment For Order Flow

New Remuneration Code

Connect vs. ONA

AIFMD Reporting: ESMA Guidelines

Recovery and Resolution

Retrospective Application of Rules

EMIR Review

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