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Hong Kong SFC: Manager-in-Charge Requirements

Of Relevance to: Hong Kong Licensed Firms A reminder that the SFC’s rules for the Manager-in-Charge requirements (“MIC Rules”) came into effect on 18 April 2017, with the need for […] [...]

Investment Firms: New Prudential Regime Update

Of Relevance to: MiFID investment firms, UCITS Management Companies and AIFMs that conduct permissible MiFID activities, particularly those subject to CRD IV As we know, ESMA and the EBA published […] [...]

SFTR – Transparency Requirements for UCITS and AIFs

SFTR – Transparency Requirements for UCITS and AIFs Of Relevance to: UCITS Management Companies and AIFMs Although the principal requirement under the Securities Financing Transactions Regulation (2015/2365) (“SFTR”) is the […] [...]

Brexit and Fund Managers

Alternative Investment Fund Managers (AIFMs) and MiFID firms need to consider the impact that Brexit will have on their business in the light of recent opinion issued by ESMA to […] [...]

Money Laundering: Further Updates to Guidance

Of Relevance to: All regulated firms In addition to proposed changes (see Regulatory Roundup 86) to Part I of the Guidance issued by the Joint Money Laundering Steering Group (“JMLSG”) there […] [...]

FX Global Code

Of Relevance to: FX Market Participants This new Code is relevant to all FX market participants, whether buy-side or sell-side, regardless of ‘product’, including E-Trading Platforms (page 4 provides a […] [...]

PRIIPs: Final FCA Rules

Of Relevance to: Most firms providing investments or investment services to retail investors, including AIFMs, UCITS Management Companies and the Authorised Fund Managers of NURS As advised in Regulatory Roundup […] [...]

EMIR Review

Of Relevance to: Firms subject to European Markets Infrastructure Regulation The FCA has issued an EMIR update alert to inform us that the European Commission has published proposals to amend […] [...]

FCA Review: Suitability

Of Relevance to: Firms providing personal recommendations to retail customers The FCA seems happy with the outcome of a review of suitability it undertook last year which captured 1,142 individual […] [...]

FCA Fees and Levies 2017/18

FCA Fees and Levies 2017/18 Of Relevance to: All FCA regulated firms The FCA has published Consultation Paper CP17/12 “FCA Regulated fees and levies 2017/18”. The annual funding requirement (“AFR”) […] [...]

FCA Business Plan 2017/18

FCA Business Plan 2017/18 Of Relevance to: All firms The FCA has published its Business Plan for 2017/18 – which also includes the ‘Risk Outlook’ (page 16) which analyses the […] [...]

Private Fund Limited Partnerships

Private Fund Limited Partnerships Of Relevance to: Managers of private equity and venture capital funds; managers of unauthorised collective investment schemes A reminder that ‘The Legislative Reform (Private Fund Limited […] [...]

PRIIPs: Implementation Date Confirmed

PRIIPs: Implementation Date Confirmed Of Relevance to: Most firms providing investments or investment services to retail investors, including AIFMs, UCITS Management Companies and the Authorised Fund Managers of NURS Firms […] [...]

MiFID II and the Senior Managers Regime

Complyport & Alexander Lloyd hosted a breakfast seminar on MiFID II and the Senior Managers Regime with a Governance Risk and Compliance (GRC) perspective. Click here to see slides [...]

Use of Dealing Commission 2017

Of Relevance to: Investment Managers As mentioned in the separate article “Best Execution” in this Regulatory Roundup, the FCA recently completed a follow-up review looking at how investment managers oversee […] [...]

Money Laundering: Changes to Guidance

Of Relevance to: All regulated firms The Joint Money Laundering Steering Group (“JMLSG”) is consulting on changes to Part I of the Guidance – the current version was last amended […] [...]

Financial Year 2016: Submissions to the SFC

Of interest to: Hong Kong Licenced Firms A reminder of the annual submissions due to the SFC by Friday 28 April 2017 for firms having their financial year ending December: […] [...]

Money Laundering: New Watchdog for Professional Bodies

Of relevance to: All firms for general interest HM Treasury has announced the creation of a new money laundering watchdog that will tackle potential weaknesses in the money laundering supervisory […] [...]

Money Laundering – Politically Exposed Persons

Of Relevance to: All regulated firms Draft UK Regulations transposing 4MLD into national law were published on 15 March 2017. The concept of Politically Exposed Persons (“PEPs”) and the need […] [...]

Loan-based Crowdfunding

Of Relevance to: Firms that operate loan-based crowdfunding platforms Those firms operating loan-based crowdfunding platforms – and specifically ones which facilitate loans to lending businesses – should have received, and […] [...]

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