14 November 2017 - Complyport UK Consultancy Service

New Collective Investment Schemes legislation in the Isle of Man

Of relevance to: Any Isle of Man firm dealing with closed-ended investment companies and specialist funds Key date: Applicable from 1 November 2017 This new collective investment schemes legislation in […] [...]

Derivatives Trading Platforms

Of relevance to: Any European firm trading in derivatives on authorised US markets Key date: Applicable from 30 September 2017 The European Commission and the US Commodity Futures Trading Commission […] [...]

MiFID II Position Limits

Of relevance to: Any firm with positions in commodity derivative contracts Key date: Applicable from 3 January 2018 The European Securities and Markets Authority (ESMA) has published nine opinions agreeing […] [...]

New Corporate Criminal Offence: ‘failure to prevent the criminal facilitation of tax evasion’

Of relevance to: All incorporated bodies (typically companies) and partnerships Key date: Applicable from 30 September 2017 Companies that aid tax evasion (not to be confused with tax avoidance) will […] [...]

Draft Guidelines for Non-Significant Benchmarks

Of relevance to: Users, administrators and contributors to benchmarks and any market participant Key date: Applicable from 30 September 2017 Earlier this year, the European Securities and Markets Authority (“ESMA”) […] [...]

Investigation into Investment Consultancy Services

Of relevance to: Institutional investors including pension schemes, charities, insurance companies Key dates: Provisional Decision report due in July 2018 Completion 13 March 2019 Following an FCA referral, the Competition […] [...]

Unbundling Investment Research costs from Trade Execution costs (US)

Of relevance to: All US sub-advisers to FCA-regulated MiFID managers Key date: Applicable from 3 January 2018 until 3 July 2020 In response to concerns that investors could lose access […] [...]

Investment Research

Of relevance to: Managers of UK UCITS Key date: Has sufficient notice been given to investors for when MiFID II comes into force on 3 January 2018? MiFID II requires […] [...]

Legal Entity Identifiers

Of relevance to: Any firm subject to MiFID II transaction reporting obligations Key date: LEIs must be in place by 3 January 2018 From 3 January 2018, any firm subject […] [...]

Principals who have Appointed Representatives

Of relevance to: All Principals who have Appointed Representatives (ARs) or Introducer Appointed Representatives (IARs), regardless of sector Having issued an alert in August 2016 which highlighted some of the […] [...]

Variation of Permission / Authorisation

Of relevance to: Any firms applying for FCA authorisation or Variation of Permission Key date: Applications prior to 31 December 2017 Firms impacted by MiFID II should by now have […] [...]

Asset Management Authorisation Hub

Of relevance to: All new asset management firms applying for FCA authorisation The FCA have launched the Asset Management Authorisation Hub to support new asset management firms when they apply […] [...]

Firm Change in Control

Of relevance to: Any firm proposing a change in any shareholder holding 10% or more Key date: Applicable from 1 October 2017 Guidelines issued by the Joint European Supervisory Authorities […] [...]

Day: 14 November 2017

New Collective Investment Schemes legislation in the Isle of Man

Derivatives Trading Platforms

MiFID II Position Limits

New Corporate Criminal Offence: ‘failure to prevent the criminal facilitation of tax evasion’

Draft Guidelines for Non-Significant Benchmarks

Investigation into Investment Consultancy Services

Unbundling Investment Research costs from Trade Execution costs (US)

Investment Research

Legal Entity Identifiers

Principals who have Appointed Representatives

Variation of Permission / Authorisation

Asset Management Authorisation Hub

Firm Change in Control

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