January, 2015 - Complyport UK Consultancy Service

Newsflash Gabriel Breakdown

As January closed some AIFMs had not yet received the information they need to be able to submit transparency reports using GABRIEL. The FCA confirmed on the 30th January that […] [...]

Fourth Money Laundering Directive

The (fourth) Money Laundering Directive (4MLD) continues to progress through the European machinery following a deal having been struck by the European Parliament and European Commission just before Christmas. A […] [...]

SEC Inspection Priorities

On 13 January 2015, the Office of Compliance Inspections and Examinations (“OCIE”) of the United States Securities and Exchange Commission (the “SEC”) released their 2015 Examination Priorities. The SEC Examination […] [...]

Regulating Sonia

SONIA (Sterling Overnight Index Average) is one of seven benchmarks which will come under FCA regulation from 1 April 2015. As will be known, currently LIBOR is the only regulated […] [...]

UCITS share classes

ESMA has identified differing national practices in the interpretation of the types of share classes that are permitted under UCITS and, in the light of this, has published Discussion Paper […] [...]

MiFID II

ESMA had a busy period in the run up to Christmas with the publication of both its 645 page MiFID II Consultation Paper (2014/1570) on 19 December (together with a […] [...]

European Long-Term Investment Funds

The proposal to create a further type of fund vehicle – European Long-Term Investment Funds (ELTIFs) – has taken a significant step forward in that the European Council has approved […] [...]

PRIIPs

Regulation 1286/2014 on the provision of Key Information Documents (KID) for Packaged Retail and Insurance-based Investment Products (PRIIPs) came into force on 29 December 2014 – although it will not […] [...]

FCA Strategy Review

With the regulation of consumer credit having come under the wing of the FCA last April, the number of firms that the FCA is responsible for has trebled over the […] [...]

Regulatory Fees and Levies

The FCA has published CP14/26 – “Regulatory fees and levies: policy proposals for 2015/16”. As was the case in last year’s CP13/14 (see Regulatory Roundup 52), the purpose of the […] [...]

US Regulation Specialist, Ross Goffi Joins Complyport

Complyport is delighted to announce that US Regulation Specialist, Ross Goffi has joined. Ross brings with him a wealth of in-house compliance expertise from various firms including J.P Morgan and Aviva […] [...]

Fair Fees?

It has been two years since the implementation of the retail distribution review (RDR) and most advisers have by now finalised their fee models and service propositions. Yet the discussion […] [...]

Governance Advisory Arrangement (GAA)

Overview Reflecting the concerns that employees are not saving enough for retirement and where they do save, pension schemes are overly expensive, the package of reforms is aimed at ensuring […] [...]

Month: January 2015

Newsflash Gabriel Breakdown

Fourth Money Laundering Directive

SEC Inspection Priorities

Regulating Sonia

UCITS share classes

MiFID II

European Long-Term Investment Funds

PRIIPs

FCA Strategy Review

Regulatory Fees and Levies

US Regulation Specialist, Ross Goffi Joins Complyport

Fair Fees?

Governance Advisory Arrangement (GAA)

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