January, 2018 - Complyport UK Consultancy Service

FCA Consulting on Senior Managers and Certification Regime (“SMCR”)

Of relevance to: FCA-solo regulated firms, insurers and banks Key date: Comments to FCA by 21 February 2018 In December 2017, the FCA published Consultation Papers CP17/40, CP 17/41 and […] [...]

LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier Update

Of relevance to: All firms having dealings on or with the London Stock Exchange’s AIM Key date: Applicable from 3 January 2018 The London Stock Exchange (“LSE”) requires all AIM […] [...]

CFD Sector: FCA ‘Dear CEO’ Letter and ESMA Press Release and Call for Evidence

Of relevance to: Firms providing or distributing CFDs Key date: ESMA’s public consultation closes on 5 February 2018 On 10 January the FCA issued a ‘Dear CEO’ letter to firms either […] [...]

MIFID II: One month in

Of relevance to: All Firms impacted by MiFID II The Markets in Financial Instruments Directive II (2014/65/EU) (“MiFID II”) and the Markets in Financial Instruments Regulation (600/2014) (“MiFIR”) repealed and […] [...]

Securitisation Regulation – impact on AIFs and UCITS

Of relevance to: All firms involved in securitisation of assets such as loans Key date: Applicable from 1 January 2019 The Securitisation Regulation (EU) 2017/2402 (the “SR”) entered into force […] [...]

Loan-based crowdfunding platforms may no longer require permission of ‘accepting deposits’

Of relevance to: All firms operating a loan-based crowdfunding platform which facilitates loans to lending businesses Key date: Legislation to be passed in 2018 The Financial Services and Markets Act […] [...]

Month: January 2018

FCA Consulting on Senior Managers and Certification Regime (“SMCR”)

LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier Update

CFD Sector: FCA ‘Dear CEO’ Letter and ESMA Press Release and Call for Evidence

MIFID II: One month in

Securitisation Regulation – impact on AIFs and UCITS

Loan-based crowdfunding platforms may no longer require permission of ‘accepting deposits’

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