08 September 2014 - Complyport UK Consultancy Service

Risk Management: Credit Rating Agencies

This will be of particular interest to those firms responsible for the management of AIFs and UCITS (and occupational retirement schemes – IORPS – that are subject to Directive 2003/41/EC). […] [...]

Submission of Annual Accounts (FIN-A)

The rules surrounding the need to submit annual report and accounts via GABRIEL using FIN-A upload functionality (see Regulatory Roundup 55) will come into force this coming 31 December. The […] [...]

UCITS V

Those firms subject to UCITS may want to note on the calendar that UCITS V (Directive 2014/91/EU) came into force on 17 September (see also Regulatory Roundup 53). However there […] [...]

Fixed Overheads

Regulatory Roundup 53 advised that the EBA had published draft Regulatory Technical Standards (RTS) relating to the calculation of own funds based upon fixed overheads required under CRR Article 97. […] [...]

Recovery and Resolution: Simplified Obligations

Regulatory Roundup 58 included an article on the Recovery and Resolution Directive (RRD) which will impact upon ‘institutions’, a term which covers both credit institutions and investment firms (an IFPRU […] [...]

Changes to Companies Act

The ‘Small Business, Enterprise and Employment Bill’ is progressing through Parliament. Aside from topics ranging from zero hours contracts to public houses code via childcare and schools, some changes to […] [...]

Corporate Governance

The Financial Reporting Council (‘FRC’) has updated the UK Corporate Governance Code (‘Code’). Although all companies can use the Code as a source of reference in establishing their corporate governance […] [...]

AIFM Prudential Requirements

Now that the transitional period under the AIFMD has passed, more firms will be getting to grips with the obligations of IPRU(INV) 11 which addresses the prudential requirements of both […] [...]

AIFMD and Safe Custody

As part of the implementation of the AIFMD, changes were made to the Regulated Activities Order (RAO) so that firms that were managers of UCITS and AIFs were deemed not […] [...]

AIFMD Reporting Timetable

Those AIFMs that have been authorised under the AIFMD for some time will probably have gotten used to the AIFMD reporting requirements set out in SUP 16.18. However for those […] [...]

COBS and CoCos

A new chapter in COBS came into force on 1 October – COBS 22 “Restrictions on distribution of contingent convertible instruments”. The provisions are effectively a copy of the short-lived […] [...]

Day: 8 September 2014

Risk Management: Credit Rating Agencies

Submission of Annual Accounts (FIN-A)

UCITS V

Fixed Overheads

Recovery and Resolution: Simplified Obligations

Changes to Companies Act

Corporate Governance

AIFM Prudential Requirements

AIFMD and Safe Custody

AIFMD Reporting Timetable

COBS and CoCos

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