29 April 2015 - Complyport UK Consultancy Service

FCA Business Plan and Outlook

Around this time of the year the FCA publishes its Risk Outlook (identifying the most important areas of focus) and its Business Plan (setting out the Regulator’s priorities for the […] [...]

FCA Restructure and Supervisory Model

The FCA’s Business Plan for 2015/16 – see previous article in this Regulatory Roundup – advises us that to help embed its new strategy the FCA has made some changes […] [...]

HM Treasury AML and CTF Report 2013 to 14

With ‘financial crime’ having joined the FCA’s top seven risks – see the article on the FCA Business Plan in this Regulatory Roundup – the publication by HM Treasury of […] [...]

Fourth Money Laundering Directive

As an update to the article in Regulatory Roundup 61 on the progress of the (fourth) Money Laundering Directive (‘4MLD’), the European Council (‘EC’) has recently issued a press release. […] [...]

Financial Crime

It may be recalled that last November the FCA issued Guidance Consultation GC14/7 (see Regulatory Roundup 60) proposing amendments to Parts 1 & 2 of the Financial Crime Guide (FC). […] [...]

Under CRD 4 certain firms are required to calculate their Own Funds requirements by reference to fixed overheads in line with Capital Requirements Regulation, Article 97. In addition, full-scope AIFMs […] [...]

European Long Term Investment Funds

The European Council has formally adopted the Regulation on European Long Term Investment Funds (‘ELTIFs’). In brief ELTIFs are designed to tackle barriers to long-term investment e.g. infrastructure projects which […] [...]

FATCA Nil Returns

As we know – e.g. see Regulatory Roundup 63 – those firms that are subject to FATCA must ensure that their first return (in respect of 2014) is submitted to […] [...]

Transaction Reporting Failure

Merill Lynch International (MLI) became the twelfth firm to be fined by the Regulator for a transaction reporting failure – the previous one being Deutsche Bank last August. The Final […] [...]

Bank of New York Custody Enforcement Action

The FCA has taken enforcement action against two entities within The Bank of New York Mellon Group – The Bank of New York Mellon London Branch (BNYMLB) and The Bank […] [...]

FCA Fees and Levies 2015 to 2016

It may be recalled that CP14/26 (see Regulatory Roundup 61) “Regulatory fees and levies: policy proposals for 2015/16” proposed certain policy changes to the fee and levy regimes. However its […] [...]

Training and Competence for MiFID Firms

Generally the FCA’s Training and Competence (‘TC’) rules only apply to FCA authorised firms where certain activities (as listed in TC App 1.1) are carried on for retail persons. The […] [...]

Day: 29 April 2015

FCA Business Plan and Outlook

FCA Restructure and Supervisory Model

HM Treasury AML and CTF Report 2013 to 14

Fourth Money Laundering Directive

Financial Crime

Fixed Overheads Calculation

European Long Term Investment Funds

FATCA Nil Returns

Transaction Reporting Failure

Bank of New York Custody Enforcement Action

FCA Fees and Levies 2015 to 2016

Training and Competence for MiFID Firms

INSIGHTS & EXPERTISE

NEWS & EVENTS

Webinar: Beyond Compliance: What the 2025 Consumer Duty Report Tells Us

Webinar: Unlocking the Power of ViCA, Your AI-Powered Virtual Compliance Assistant

Online Training Course: Your MLRO Training Day

Webinar: Navigating the IFPR Impact: Good and Poor Practices Observed

In-Person Training Course: Your MLRO Training Day

In-Person Training Course: Your MLRO Training Day

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