March, 2016 - Complyport UK Consultancy Service

IT and GRC – A Solution to the Gap at the Top?

Sound practices in Governance, Risk and Compliance (GRC) are the key to engaging senior management in cyber security planning. This is the key conclusion from recent consideration of cyber security […] [...]

Advising on Investments: FAMR

The joint FCA and HM Treasury Financial Advice Market Review (“FAMR”) was launched last year – see Regulatory Roundup 67. The purpose of the review was to examine: the advice […] [...]

Personal Data: US Privacy Shield

As we know, the US ‘Safe Harbor’ scheme was declared invalid by the European Court of Justice in October of last year – see Regulatory Roundup 70. The issue at […] [...]

Client Money: Loan-Based Crowdfunding

Of Relevance to: Firms advising on P2P agreements; all firms undertaking ‘advising on investments Client Money: Loan-Based Crowdfunding The proposed changes to CASS to allow firms to hold money in […] [...]

Liquidity Management in Funds

Of Relevance to: Managers of open-ended investment funds Liquidity Management in Funds The FCA has published comments – there is no stand-alone paper as such – on ‘Liquidity management for […] [...]

Securities Financing Transactions Regulation: ESMA Discussion Paper

Of Relevance to: Firms concluding Securities Financing Transactions Securities Financing Transactions Regulation: ESMA Discussion Paper As advised in Regulatory Roundup 72, reporting and transparency obligations will arise in respect of […] [...]

Complyport CEO talks GRC in Telegraph interview

Governance, Risk and Compliance (GRC) is a term that might more accurately be described as “The business issues that ought to keep directors and senior managers awake at night!” Complyport […] [...]

LLPs and Register of Persons with Significant Control

LLPs and Register of Persons with Significant Control Limited Liability Partnerships (LLPs) are required to register Persons with Significant Control (PSC) from 6th April 2016. This will bring LLPs in […] [...]

Amendment of Director Appointment Records

Amendment of Director Appointment Records Directors will soon be able to have their name removed from the companies register if they did not consent to act as a director. This […] [...]

Brexit – Too close to call

Brexit is the abbreviation for “British Exit” from the European Union (EU). The country will vote on the issue of whether to stay in the EU or leave in a […] [...]

Financial Year 2015: Submissions to the Hong Kong SFC

Of Relevance to: Hong Kong Licenced Firms Financial Year 2015: Submissions to the Hong Kong SFC For Hong Kong Licensed Corporations with a fiscal year ending 31 December, there are […] [...]

Remuneration: Bonus Cap

Of Relevance to: Firms subject to CRD IV (‘IFPRU Investment Firms’) Remuneration: Bonus Cap The European Banking Authority’s Guidelines on sound remuneration policies were published on 21 December last year. […] [...]

Fire-fighting is an expensive solution to a GRC problem

Many businesses don’t recognise they have a GRC problem until it’s too late! Why is this? Why didn’t someone spot the problem and do something about it? More often than […] [...]

EMIR Mandatory Clearing: Credit Default Swaps

Of Relevance to: Those entities subject to EMIR EMIR Mandatory Clearing: Credit Default Swaps As we know, Article 4 of EMIR imposes a clearing obligation on all OTC contracts which […] [...]

Month: March 2016

IT and GRC – A Solution to the Gap at the Top?

Advising on Investments: FAMR

Personal Data: US Privacy Shield

Client Money: Loan-Based Crowdfunding

Liquidity Management in Funds

Securities Financing Transactions Regulation: ESMA Discussion Paper

Complyport CEO talks GRC in Telegraph interview

LLPs and Register of Persons with Significant Control

Amendment of Director Appointment Records

Brexit – Too close to call

Financial Year 2015: Submissions to the Hong Kong SFC

Remuneration: Bonus Cap

Fire-fighting is an expensive solution to a GRC problem

EMIR Mandatory Clearing: Credit Default Swaps

INSIGHTS & EXPERTISE

NEWS & EVENTS

Online Training Course: Your MLRO Training Day

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

Subscribe for Exclusive Regulatory News and Updates

Member of:

Accredited by:

Member of:

Accredited by:

Global Offices

Complyport (UK)

Complyport (UAE)

Complyport (EU)

Connect With Us