14 January 2019 - Complyport UK Consultancy Service

ESMA tells firms to provide clients with information on the implications of Brexit

ESMA issued a statement on 19 December 2018 to remind firms providing investment services of their obligations to provide clients with information on the implications of the United Kingdom’s withdrawal […] [...]

ESMA is ready to review UK CCPs and CSDs recognition applications for a No-Deal Brexit scenario

ESMA published a Public Statement on 19 December 2018 to clarify its plans for the recognition of Central Counterparties established in the United Kingdom (“UK CCPs”) as Third Country CCPs […] [...]

ESMA to renew restrictions on CFDs for a further three months from 1 February 2019

The European Securities and Markets Authority (“ESMA”) has agreed to renew the restriction on the marketing, distribution or sale of Contracts for Difference (“CFDs”) to retail clients, in effect since […] [...]

FCA proposes permanent measures for retail CFDs and Binary Options

The FCA published two consultation papers in December 2018 concerning Contracts for Difference (“CFDs”) and Binary Options. With regard to Binary Options, the FCA is proposing permanent rules to prohibit […] [...]

Securitisation Regulation: PRA and FCA joint statement on reporting of private securitisations

The Prudential Regulation Authority and Financial Conduct Authority have issued a joint statement setting out how they propose to direct the manner in which firms must make information regarding ‘private’ […] [...]

FCA Policy Statement (PS18/21) — Updated December 2018: Small and Medium Sized Enterprises access to Financial Ombudsman Service

In January 2018, the FCA published a Consultation Paper (CP18/3) proposing that Small and Medium Sized Enterprises (SMEs) with fewer than 50 employees, annual turnover of under £6.5m and an […] [...]

The Financial Services Contracts Regime

The UK Government has published draft legislation for the Financial Services Contracts Regime (“FSCR”). If the UK leaves the EU without a withdrawal agreement, the FSCR will enable firms who […] [...]

Day: 14 January 2019

ESMA tells firms to provide clients with information on the implications of Brexit

ESMA is ready to review UK CCPs and CSDs recognition applications for a No-Deal Brexit scenario

ESMA to renew restrictions on CFDs for a further three months from 1 February 2019

FCA proposes permanent measures for retail CFDs and Binary Options

Securitisation Regulation: PRA and FCA joint statement on reporting of private securitisations

FCA Policy Statement (PS18/21) — Updated December 2018: Small and Medium Sized Enterprises access to Financial Ombudsman Service

The Financial Services Contracts Regime

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