2016 - Complyport UK Consultancy Service

Crowdfunding: FCA Interim Report

Of Relevance to: Firms offering crowdfunding Responses to its ‘call for input’ in July of this year on crowdfunding has left the FCA feeling that there is evidence of potential […] [...]

FSCS Review

Of Relevance to; All firms, particularly those with clients that qualify as ‘eligible claimants’ The FCA has published consultation paper CP16/42 “Reviewing the funding of the Financial Services Compensation Scheme […] [...]

CFDs – Enhanced Conduct of Business Rules

Of Relevance to: Firms providing and/or distributing retail CFD products (and binary options) Given the concerns that the FCA has previously expressed on the distribution of contracts for difference (“CFD”) […] [...]

Investment Firms: New Prudential Regime Discussion Paper

Of relevance to: MiFID investment firms, UCITS management companies and AIFMs that conduct permissible MiFID activities, particularly those subject to CRD IV In December 2015 a joint ESMA/EBA report was […] [...]

FCA Asset Management Market Study: Interim Report

Of relevance to: The asset management sector In November 2015 the FCA published its terms of reference in relation to the intention to undertake a market study into asset management […] [...]

PRIIPs: Implementation Delay Confirmed

Of relevance to: Most firms providing investments or investment services to retail investors, including AIFMs, UCITS Management Companies and the Authorised Fund Managers of NURS As advised in Regulatory Roundup […] [...]

Brexit and Article 50

By now we will all be aware of the decision of the High Court in Gina Miller & Deir Tozetti Dos Santos v The Secretary of State to the effect that […] [...]

Regulatory References Update

Of Relevance to: All firms In October 2015 the FCA launched a joint Consultation Paper (CP15/31) with the PRA on “Strengthening accountability in banking and insurance: regulatory references” – see […] [...]

CFDs and other Speculative Products

Of relevance to: Firms involved in CFDs and similar products such as binary options and rolling spot forex ESMA has updated its Q&As on ‘the provision CFDs and other speculative […] [...]

AIFMD Passport: Non-EU Jurisdictions

Of relevance to: AIFMs and, non-EU fund managers As we know (see Regulatory Roundup 78) the AIFMD allows for the extension of the marketing passport to EU AIFMs of non-EU […] [...]

Investment and Corporate Banking: Final Report

Of relevance to: IPO stakeholders including corporate finance advisers, investment banks and buy-side investors In May 2015 the FCA launched a market study into investment and corporate banking by publishing […] [...]

ESMA Remuneration Guidelines: UCITS and AIFMD

Of relevance to: UCITS management companies and AIFMs UCITS V introduced the concept of remuneration policies and practices for management companies – see Regulatory Roundup 75 for details of ESMA’s […] [...]

Introducers: FCA Concerns

Of relevance to: Firms accepting business from unauthorised introducers “Introducing” is one of those problematical activities that can either fall outside FCA regulation or fall inside FCA regulation depending upon […] [...]

Activities and Exam Qualifications

Of relevance to: Firms and their employees where appropriate qualifications are required under TC The title of the FCA’s latest Consultation Paper CP16/24 “Review of the FCA’s appropriate qualification exam […] [...]

Advising: FCA Register Part 4A

Of relevance to: Firms whose activities include ‘advising on investments’ The FCA has issued a reminder to those firms whose Part 4A Permission permits them to undertake the activity of […] [...]

4MLD: HM Treasury Consultation

Of relevance to: All firms HM Treasury has published a Consultation Paper on the transposition of the Fourth Money Laundering Directive (“4MLD”) and the accompanying Fund Transfer Regulation (“FTR”). Although […] [...]

4MLD: High-risk Countries

Of relevance to: All firms Around one week after HM Treasury published its Consultation Paper on the Fourth Money Laundering Directive (“4MLD”) – see previous article “4MLD: HM Treasury Consultation” […] [...]

PRIIPs Delay

Of relevance to: Most firms providing investment or investment services to retail investors, including AIFMs, UCITS Management Companies and the Authorised Fund Managers of NURS The July edition of the […] [...]

EuVECA & EuSEF: Update

Of relevance to: Managers of EuVECA/EuSEF funds; full-scope AIFMs; managers of funds which may qualify as EuVECA/EuSEF funds The concept of a European Venture Capital Fund (“EuVECA”) and a European […] [...]

Year: 2016

Crowdfunding: FCA Interim Report

FSCS Review

CFDs – Enhanced Conduct of Business Rules

Investment Firms: New Prudential Regime Discussion Paper

FCA Asset Management Market Study: Interim Report

PRIIPs: Implementation Delay Confirmed

Brexit and Article 50

Regulatory References Update

CFDs and other Speculative Products

AIFMD Passport: Non-EU Jurisdictions

Investment and Corporate Banking: Final Report

ESMA Remuneration Guidelines: UCITS and AIFMD

Introducers: FCA Concerns

Activities and Exam Qualifications

Advising: FCA Register Part 4A

4MLD: HM Treasury Consultation

4MLD: High-risk Countries

PRIIPs Delay

EuVECA & EuSEF: Update

INSIGHTS & EXPERTISE

NEWS & EVENTS

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

Webinar: Outsourcing Compliance for Smaller Firms: A Strategic Advantage

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