November, 2018 - Complyport UK Consultancy Service

ESMA Temporary Product Intervention Measures on the marketing, distribution or sale of CFDs

ESMA has updated its Q&As in this area and has included a new section relating to the prominence of risk warnings. Guidance given by ESMA states that “The risk warning […] [...]

FCA statement on the launch of the Cost Transparency Initiative

The Cost Transparency Initiative (“CTI”) was launched on 7 November 2018. The CTI is an independent group aiming to improve cost transparency for institutional investors with the responsibility for progressing […] [...]

Notice of ESMA’s Product Intervention Renewal Decision in Relation to CFDs

On 23 October 2018, the European Securities and Markets Authority (“ESMA”) adopted a Decision under Article 40 of Regulation (EU) No 600/2014 to restrict the marketing, distribution or sale of […] [...]

Brexit: The Temporary Permissions Regime

The Temporary Permissions Regime (“TPR”) will enable relevant firms and funds which passport into the UK to continue operating in the UK if the passporting regime comes to an end […] [...]

Maintaining Market Confidence – An Update on Brexit

Nausicca Delfas, Executive Director delivered a speech concerning the preparations being taken by the FCA prior to Brexit. Key points to note from the speech include: In line with the […] [...]

Amendment to Level 2 requirements on depsoitaries of AIFS and UCITS

Two new regulations have been published amending the current Level 2 requirements on depositaries of Alternative Investment Funds (“AIFs”) and Undertakings for Collective Investments in Transferable Securities (“UCITS”) schemes. The […] [...]

Senior Managers and Certification Regime – Proposed Guidance on Statements of Responsibilities for FCA firms

The Financial Conduct Authority (“FCA”) is extending the Senior Managers and Certification Regime (“SM&CR”) to all FSMA authorised firms on 9 December 2019. Under the new regime, all senior managers […] [...]

A Partnership of Experts! The European Institute of Management and Finance (EIMF) and Complyport Announce their Collaboration!

The European Institute of Management and Finance (EIMF) and Complyport join forces in professional education! The European Institute of Management and Finance (EIMF), a highly accredited European education provider specialising […] [...]

Month: November 2018

ESMA Temporary Product Intervention Measures on the marketing, distribution or sale of CFDs

FCA statement on the launch of the Cost Transparency Initiative

Notice of ESMA’s Product Intervention Renewal Decision in Relation to CFDs

Brexit: The Temporary Permissions Regime

Maintaining Market Confidence – An Update on Brexit

Amendment to Level 2 requirements on depsoitaries of AIFS and UCITS

Senior Managers and Certification Regime – Proposed Guidance on Statements of Responsibilities for FCA firms

A Partnership of Experts! The European Institute of Management and Finance (EIMF) and Complyport Announce their Collaboration!

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