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Best Execution

Of Relevance to: Investment Managers The FCA has published a statement on its website to the effect that investment managers are (still) failing to ensure effective oversight of best execution. […] [...]

Advising on Investments – Change in Definition

Of relevance to: All regulated firms One of the recommendations in the joint FCA and HM Treasury Financial Advice Market Review (“FAMR”) was to consider amending the definition of regulated […] [...]

Initial Public Offerings: Reforming the Process

Of Relevance to: IPO stakeholders including corporate finance advisers, investment banks, buy-side stakeholders and independent research analysts In April 2016 the FCA published a Discussion Paper (DP16/3) on concerns it […] [...]

PRIIPs – Joint Consultation

Of Relevance to: Most firms providing investments or investment services to retail investors, including AIFMs, UCITS Management Companies and Authorised Fund Managers of NURS A joint EBA/EIOPA/ESMA consultation paper (JC […] [...]

Illiquid Assets and Open-ended Funds

Of Relevance to: Managers of open-ended funds The FCA has published Discussion Paper DP17/1 on “Illiquid assets and open-ended funds”. DP17/1 concerns itself with the liquidity within a scheme – […] [...]

Variation Margin

Of Relevance to: Firms trading in OTC derivatives A reminder that the EMIR Variation Margin Regulations (2016/2251) apply from 1 March 2017 in respect of uncleared OTC derivatives (although it […] [...]

EMIR – Reporting to Trade Repositories Revision

Of Relevance to: Firms subject to EMIR The minimum details to be reported to a Trade Repository currently sit within Regulatory Technical Standards (“RTS”) Delegated Regulation 148/2013, with the format […] [...]

UCITS and AIFs: Transparency Requirements

Of relevance to: UCITS management companies and AIFMs UCITS and AIFs: Transparency Requirements A reminder to UCITS management companies and AIFMs that certain transparency obligations arising under the Securities Financing […] [...]

European Market Infrastructure Regulation (“EMIR”): Final call for backloading

Of relevance to: those entities subject to EMIR It’s now nearly three years (12 February 2014) since the reporting obligation to report to a Trade Repository under EMIR came into […] [...]

Redundancy, dear Watson

Mentioning Artificial Intelligence (AI) prompts complex reactions in humans. These reactions are often tinged with fear about redundancy, and the reporting of AI is often in a controversial setting. This […] [...]

Mandatory Use of SFC Online Portal

Of interest to: Hong Kong Licenced Firms Effective 1 February 2017, all Hong Kong Securities and Futures Commission (“SFC”) applications, notifications and annual returns filed by Licensed Representatives (which includes […] [...]

Crowdfunding: FCA Interim Report

Of Relevance to: Firms offering crowdfunding Responses to its ‘call for input’ in July of this year on crowdfunding has left the FCA feeling that there is evidence of potential […] [...]

FSCS Review

Of Relevance to; All firms, particularly those with clients that qualify as ‘eligible claimants’ The FCA has published consultation paper CP16/42 “Reviewing the funding of the Financial Services Compensation Scheme […] [...]

CFDs – Enhanced Conduct of Business Rules

Of Relevance to: Firms providing and/or distributing retail CFD products (and binary options) Given the concerns that the FCA has previously expressed on the distribution of contracts for difference (“CFD”) […] [...]

Investment Firms: New Prudential Regime Discussion Paper

Of relevance to: MiFID investment firms, UCITS management companies and AIFMs that conduct permissible MiFID activities, particularly those subject to CRD IV In December 2015 a joint ESMA/EBA report was […] [...]

FCA Asset Management Market Study: Interim Report

Of relevance to: The asset management sector In November 2015 the FCA published its terms of reference in relation to the intention to undertake a market study into asset management […] [...]

PRIIPs: Implementation Delay 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 As advised in Regulatory Roundup […] [...]

Brexit and Article 50

By now we will all be aware of the decision of the High Court in Gina Miller & Deir Tozetti Dos Santos v The Secretary of State to the effect that […] [...]

Regulatory References Update

Of Relevance to: All firms In October 2015 the FCA launched a joint Consultation Paper (CP15/31) with the PRA on “Strengthening accountability in banking and insurance: regulatory references” – see […] [...]

Category: Latest News

Best Execution

Advising on Investments – Change in Definition

Initial Public Offerings: Reforming the Process

PRIIPs – Joint Consultation

Illiquid Assets and Open-ended Funds

Variation Margin

EMIR – Reporting to Trade Repositories Revision

UCITS and AIFs: Transparency Requirements

European Market Infrastructure Regulation (“EMIR”): Final call for backloading

Redundancy, dear Watson

Mandatory Use of SFC Online Portal

Crowdfunding: FCA Interim Report

FSCS Review

CFDs – Enhanced Conduct of Business Rules

Investment Firms: New Prudential Regime Discussion Paper

FCA Asset Management Market Study: Interim Report

PRIIPs: Implementation Delay Confirmed

Brexit and Article 50

Regulatory References Update

INSIGHTS & EXPERTISE

NEWS & EVENTS

ICARA in Practice: From Risk Assessment to Capital Allocation

Showrooms Under Scrutiny: Solving the High-Value Car Dealership KYC Bottleneck

EMI/PI Authorisation: Regulatory Red Flags That Can Delay or Derail Your Application

Top 10 Compliance Failures in UAE Firms (Based on Real Cases)

Payments & FinTech Compliance in the UAE: The Hidden Risks

Scale & Safeguard: Where Payments Are Changing and Where the Opportunity Really Is

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