18 June 2015 - Complyport UK Consultancy Service

European Long Term Investment Funds

The Regulation (2015/760) on European Long Term Investment Funds (ELTIFs) has now been published in the Official Journal – see Regulatory Roundup 64. They are designed to provide long term […] [...]

Investment and Corporate Banking Study

In July 2014 the FCA launched its wholesale sector competition review with a call for inputs – see Regulatory Roundup 57 for further details. The review of feedback ended in […] [...]

Complaints and Professional Contacts

Changes are being made to the Handbook which will mean that certain professional clients will be able to have their complaints dealt with under the Financial Ombudsman Service regime and […] [...]

Nearly There Fourth Money Laundering Directive

The last edition of Regulatory Roundup (Issue 64) advised that following approval by the European Council the (fourth) Money Laundering Directive was now awaiting adoption by the European Parliament (EP). […] [...]

FCA Website

The FCA has accepted the possibility that its website is not always easy to navigate. In response it is piloting a new section of its website for firms that is […] [...]

Hedge Fund Survey

The FCA’s latest Hedge Fund Survey has been published (the data reported is as at September 2014). Whilst the FCA applies certain filters in its selection of firms e.g. multimanager […] [...]

Remuneration under CRD 4 – Update

The consultation period in respect of the European Banking Authority’s (EBA) Consultation paper on ‘Sound Remuneration Policies’ (CP 2015/03) closed on 4 June. The EBA will no doubt be considering […] [...]

Prudential Supervision ICAAP

On 13 May 2015, the FCA held its first ever Prudential Supervision Forum in which it reminded firms that prudential supervision is “not just about the financials”. As such, firms […] [...]

SEC Proposes Amendment to Form ADV

The SEC is consulting on amendments to Form ADV that will affect both SEC registrants and Exempt Reporting Advisers alike. Release IA-4091, published on 20th May, proposes significant amendments to […] [...]

Restrictions on Retail Distribution

Last year the FCA added a new chapter to COBS – COBS 22 “Restrictions on distribution of contingent convertible instruments”. The effect of this was to prohibit the sale of, […] [...]

Feature – Compliance Management

As the increasing regulatory burden places more demands on a firm’s time, ComplyTracker is an invaluable compliance management tool. What is ComplyTracker? ComplyTracker is an industry-leading compliance management system for […] [...]

Day: 18 June 2015

European Long Term Investment Funds

Investment and Corporate Banking Study

Complaints and Professional Contacts

Nearly There Fourth Money Laundering Directive

FCA Website

Hedge Fund Survey

Remuneration under CRD 4 – Update

Prudential Supervision ICAAP

SEC Proposes Amendment to Form ADV

Restrictions on Retail Distribution

Feature – Compliance Management

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