2015 - Complyport UK Consultancy Service

FAST Act Amendment to Disclosure Requirements

The President of the United States, Barack Obama, signed into law the Fixing America’s Surface Transportation (“FAST”) Act on 4 December 2015. The FAST Act included an amendment of the […] [...]

AIFMD: Annex IV Reporting

A reminder that the 31 December 2015 is a key reporting date for AIFMs: both small registered AIFMs and small authorised AIFMs are required to report annually with the reporting […] [...]

Thematic Review: Inside Information

The FCA has published its findings on yet another thematic review – this time looking at ‘Flows of Confidential and Inside Information’ (TR15/13). The review sample consisted of 16 mostly small […] [...]

Thematic Review: Wealth Management and Suitability

The FCA has published its thematic review of wealth management firms and private banks and the suitability of investment portfolios (TR15/12). This is not the first time the regulator has […] [...]

EMIR: Mandatory Clearing Regulation and Frontloading

The Commission Delegated Regulation (2015/2205) on the mandatory clearing of certain OTC derivative contracts through central counterparties (see Regulatory Roundup 67) under Article 4 of EMIR has now been published […] [...]

Making the FCA Application for Consumer Credit Easier

The FCA has launched a series of step-by-step guides aiming to support consumer credit firms in completing their application for full or limited permission using our FCA Connect application system. […] [...]

In The Clouds

Aside from a paper last year on ‘off-the-shelf’ banking solutions, the FCA has not been particularly vocal on information systems and their attendant security in the past. However, with the […] [...]

MiFID II Wobble

With just over a year to 3 January 2017 Steven Maijoor, the Chair of ESMA, delivered an update on ESMA work in relation to MiFID II to the Economic and […] [...]

Complyport Wins Customer Support Excellence Award

Complyport won a prestigious award for Customer Support Excellence at the Compliance Register Platinum Awards – the industry equivalent of the Hollywood Oscars. The awards are an annual event and […] [...]

Disclosures and Transparency

Implementation of the Transparency Directive Amending Directive (TDAD) (2013/50) has led to some changes to the Disclosure Rules and Transparency Rules sourcebook (DTR) which came into effect on 26 November […] [...]

Remuneration under CRD 4: Role-Based Allowances

As we know, the European Banking Authority’s consultation on ‘Sound Remuneration Policies’ (CP 2015/03) closed on 4 June – see Regulatory Roundup 65. Among the aspects touched upon in the […] [...]

Asset Management: Under the Microscope

The FCA’s Business Plan for 2015/16 Included an intention to undertake a market study into asset management – see Regulatory Roundup 64. The terms of reference of the study has […] [...]

What’s in the Sandbox?

The spring of 2016 should see the FCA opening its ‘regulatory sandbox’ to interested parties. The concept of the sandbox is an extension of the FCA’s Project Innovate initiative – […] [...]

Market Abuse

The FCA has released consultation paper CP15/35 on the revised market abuse regime “Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU)”. The current […] [...]

Personal Data: US Safe Harbor

Principle 8 of the Data Protection Act (Schedule 1) prevents the transfer of personal data to a country outside the EEA unless that country has an adequate level of protection. […] [...]

Extension of Senior Managers Regime and Certification Regime

Firms should be aware that on 15 October HM Treasury issued a policy paper advising that: the Government considers it appropriate to extend the Senior Managers Regime (SMR) and the […] [...]

Regulatory References

In its current format the FCA Handbook (SUP 10A.15) addresses a firm’s obligation to provide “all relevant information” regarding an ex (or soon to be ex) employee when requested by […] [...]

Whistleblowing

SYSC 18 promotes, in the sense that it contains guidance rather than rules, the use of the Public Disclosure Act 1998 in making protected disclosures (‘whistleblowing’). SYSC 18.2.2 specifically encourages […] [...]

AIFMD Passport Extension: Second Round

It will be recalled that in July ESMA published its advice (2015/1236) on the application of the AIFMD passport to non-EEA AIFMs and AIFs. At the time ESMA only issued […] [...]

AML: UK Risk Management

HM Treasury has published the first money laundering and terrorist financing (AML/CTF) national risk assessment (NRA). It may be recalled that earlier this year it published a supervision report on […] [...]

Year: 2015

FAST Act Amendment to Disclosure Requirements

AIFMD: Annex IV Reporting

Thematic Review: Inside Information

Thematic Review: Wealth Management and Suitability

EMIR: Mandatory Clearing Regulation and Frontloading

Making the FCA Application for Consumer Credit Easier

In The Clouds

MiFID II Wobble

Complyport Wins Customer Support Excellence Award

Disclosures and Transparency

Remuneration under CRD 4: Role-Based Allowances

Asset Management: Under the Microscope

What’s in the Sandbox?

Market Abuse

Personal Data: US Safe Harbor

Extension of Senior Managers Regime and Certification Regime

Regulatory References

Whistleblowing

AIFMD Passport Extension: Second Round

AML: UK Risk Management

INSIGHTS & EXPERTISE

NEWS & EVENTS

Online Training Course: Your MLRO Training Day

Webinar: KYC as a Service: How Firms Are Benefiting from Outsourcing Compliance

Webinar: How Technology Can Save the Day for Compliance Teams

Webinar: Rebuilding ICARA: Practical Steps for a More Effective Capital, Liquidity and Risk Assessment Process

Webinar: Compliance Resourcing: Building the Right Team for Regulatory Success

Webinar: KYC Remediation: Do It Right the First Time

Subscribe for Exclusive Regulatory News and Updates

Member of:

Accredited by:

Member of:

Accredited by:

Global Offices

Complyport (UK)

Complyport (UAE)

Complyport (EU)

Connect With Us