29 August 2015 - Complyport UK Consultancy Service

EMIR: Mandatory Clearing

Article 4 of EMIR places a clearing obligation on all OTC derivative contracts which fulfil the conditions therein – but only once ESMA has determined which classes of OTC derivatives should be subject to the clearing obligation (Article 5(2)); see Regulatory Roundup 57 for further details, On 6 August the [...]

EMIR and Frontloading

Firms that will have to come to grips with the ‘frontloading requirement’ (see previous article) will be interested in the recent ESMA Review of the EMIR Framework (2015/1254). The content is being submitted to the European Commission to feed into the general report on EMIR that it will prepare and [...]

AIFMD: Annex IV Reporting Issues

Problems encountered by firms in meeting the demanding Annex IV reporting requirements (SUP 16.18) has led the FCA to issue a further set of Q&As to assist firms and which: Highlight aspects of AIFMD reporting where questions have been misinterpreted by some AIFMS; Identify where AIFMs have provided inconsistent responses [...]

Improving Conduct

In July Tracey McDermott, director of supervision, at the FCA, delivered a speech at the British Bankers’ Association Conference. Aimed at the wholesale market, the speech gives clues to the questions all firms should expect to be asked in the context of conduct risk. First, how do you identify the [...]

Financial Advice Market Review

The FCA and HM Treasury has launched the Financial Advice Market Review (FAMR). The review will examine how financial advice could work better for consumers. The review will consult in Autumn 2015 and report ahead of the 2016 Budget. The review will examine; the advice gap for those people who [...]

Day: 29 August 2015

EMIR: Mandatory Clearing

EMIR and Frontloading

AIFMD: Annex IV Reporting Issues

Improving Conduct

Financial Advice Market Review

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