Simon Booker - Complyport UK Consultancy Service

AIFMD: Annex IV Reporting Issues

Problems encountered by firms in meeting the demanding Annex IV reporting requirements (SUP 16.18) has led the FCA to issue a further set of Q&As to assist firms and which: […] [...]

Improving Conduct

In July Tracey McDermott, director of supervision, at the FCA, delivered a speech at the British Bankers’ Association Conference. Aimed at the wholesale market, the speech gives clues to the […] [...]

Financial Advice Market Review

The FCA and HM Treasury has launched the Financial Advice Market Review (FAMR). The review will examine how financial advice could work better for consumers. The review will consult in […] [...]

FCA Regulation Roundup August – Highlights

Complaints Handling The FCA has published final rules on complaints handling. In summary the changes are: An extension of the ‘next business day rule’, where firms can handle complaints less […] [...]

AIFMD Passport and non-EU Jurisdictions

As mentioned in Regulatory Roundup 60, by 22 July 2015 ESMA has to provide an opinion/advice on: The functioning of the EU AIFM passport (managing and marketing) The extension of […] [...]

Registered Investment Advisers – Personal Account Dealing Guidance

In late June 2015, the United States Securities and Exchange Commission (SEC) Division of Investment Management released Guidance Update No. 2015-03 entitled “Personal Securities Transactions Reports by Registered Investment Advisers: […] [...]

Remuneration Guidelines – UCITS V, AIFMD (and CRD IV)

An article in Regulatory Roundup 59 on UCITS V drew attention to the introduction of the concept of remuneration policies for UCITS management companies, with ESMA being charged with drawing […] [...]

Remuneration – Changes to Handbook

Whilst on the subject of remuneration (see previous article) it may be recalled from Regulatory Roundup 58 that a new Remuneration Code was to be introduced into the Handbook: SYSC […] [...]

Money Laundering – Gold

FATF has produced a report on the gold sector as a result of what is seen as a transition of money laundering and terrorist financing from the formal financial sector […] [...]

Performance Management

The FCA has published Guidance on the risk to customers from performance management at firms (FG15/10) – the paper advises that it will be relevant to all types of firm […] [...]

Client Money and Custody Rules

The FCA has recently completed a review of 24 firms for their compliance with CASS. Although the firms reviewed operated in the CFD and spread betting arena, all firms subject […] [...]

Complaints

The previous Regulatory Roundup (issue 65) drew attention to changes to the ‘complaints rules’ in DISP which had the effect of classifying certain professional clients as eligible complainants and hence affording […] [...]

FCA Fees and Levies 2015-16

The FCA has published PS15/15 “FCA regulated fees and levies 2015/16” which includes feedback on its March Consultation Paper; Regulatory Roundup 64 provides details of the latter. All respondents to […] [...]

Private Equity – Limited Partnership Reforms

HM Treasury has issued a consultation on changes to the Limited Partnership Act 1907. For the avoidance of doubt the proposals are applicable only to those UK LPs that are […] [...]

GABRIEL Filings – FSA055 – Systems and Controls Questionnaire

Non-ILAS BIPRU firms, a term which also captures IFPRU limited-licence and limited activity firms, will be familiar with the FSA055 Systems and Controls Questionnaire which is required to be submitted […] [...]

Author: Simon Booker

AIFMD: Annex IV Reporting Issues

Improving Conduct

Financial Advice Market Review

FCA Regulation Roundup August – Highlights

AIFMD Passport and non-EU Jurisdictions

Registered Investment Advisers – Personal Account Dealing Guidance

Remuneration Guidelines – UCITS V, AIFMD (and CRD IV)

Remuneration – Changes to Handbook

Money Laundering – Gold

Performance Management

Client Money and Custody Rules

Complaints

FCA Fees and Levies 2015-16

Private Equity – Limited Partnership Reforms

GABRIEL Filings – FSA055 – Systems and Controls Questionnaire

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