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CFDs and other Speculative Products

Of relevance to: Firms involved in CFDs and similar products such as binary options and rolling spot forex ESMA has updated its Q&As on ‘the provision CFDs and other speculative […] [...]

AIFMD Passport: Non-EU Jurisdictions

Of relevance to: AIFMs and, non-EU fund managers As we know (see Regulatory Roundup 78) the AIFMD allows for the extension of the marketing passport to EU AIFMs of non-EU […] [...]

Investment and Corporate Banking: Final Report

Of relevance to: IPO stakeholders including corporate finance advisers, investment banks and buy-side investors In May 2015 the FCA launched a market study into investment and corporate banking by publishing […] [...]

ESMA Remuneration Guidelines: UCITS and AIFMD

Of relevance to: UCITS management companies and AIFMs UCITS V introduced the concept of remuneration policies and practices for management companies – see Regulatory Roundup 75 for details of ESMA’s […] [...]

Introducers: FCA Concerns

Of relevance to: Firms accepting business from unauthorised introducers “Introducing” is one of those problematical activities that can either fall outside FCA regulation or fall inside FCA regulation depending upon […] [...]

Activities and Exam Qualifications

Of relevance to: Firms and their employees where appropriate qualifications are required under TC The title of the FCA’s latest Consultation Paper CP16/24 “Review of the FCA’s appropriate qualification exam […] [...]

Advising: FCA Register Part 4A

Of relevance to: Firms whose activities include ‘advising on investments’ The FCA has issued a reminder to those firms whose Part 4A Permission permits them to undertake the activity of […] [...]

4MLD: HM Treasury Consultation

Of relevance to: All firms HM Treasury has published a Consultation Paper on the transposition of the Fourth Money Laundering Directive (“4MLD”) and the accompanying Fund Transfer Regulation (“FTR”). Although […] [...]

4MLD: High-risk Countries

Of relevance to: All firms Around one week after HM Treasury published its Consultation Paper on the Fourth Money Laundering Directive (“4MLD”) – see previous article “4MLD: HM Treasury Consultation” […] [...]

PRIIPs Delay

Of relevance to: Most firms providing investment or investment services to retail investors, including AIFMs, UCITS Management Companies and the Authorised Fund Managers of NURS The July edition of the […] [...]

EuVECA & EuSEF: Update

Of relevance to: Managers of EuVECA/EuSEF funds; full-scope AIFMs; managers of funds which may qualify as EuVECA/EuSEF funds The concept of a European Venture Capital Fund (“EuVECA”) and a European […] [...]

Advice: Amending the Definition

Of relevance to: Investment advisory firms; all firms undertaking ‘advising on investments’ The publication in March of the ‘Financial Advice Market Review’ (“FAMR”) was the final report on this joint […] [...]

EU-US Privacy Shield

Of Relevance to: Firms whose business model involves the transmission of personal data to the US. It may be recalled that in October 2015 the European Court of Justice declared […] [...]

REP-CRIM

Of Relevance to: Firms falling within the criteria within SUP 16.23; those persons with responsibility for oversight of financial crime A reminder that a new financial crime data return (REP-CRIM) […] [...]

FCA Anti-money Laundering Annual Report

Of Relevance to: All firms The FCA has published its Anti-money Laundering Report for 2015/16 on its website. Highlights include: Financial crime was a top priority in 2015/16 and will […] [...]

CFDs and Speculative Products and Appropriateness

Of Relevance to: Firms involved in CFDs and similar speculative products such as binary options and rolling spot forex and to firms in general that need to undertake appropriateness testing. […] [...]

PRIIPs: Are you ready?

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

AIFMD Passport: ESMA Advice re non-EU Jurisdictions

Of relevance to: AIFMs; non-EU fund managers Although the AIFMD marketing passport simplifies the marketing of EU AIFs by EU AIFMs, under the current AIFMD regime, the marketing by non-EU […] [...]

Whistleblowing in 2016 – A Practical Guide For Compliance Managers

Complyport, ComplySci and Intersol Global are thrilled to have partnered for this Whistleblowing webinar on 12 July 2016 Contributed commentary; ComplySci Whistleblowing in 2016 This subject is clearly top of mind for […] [...]

Financial Advice Market Review (FAMR)

In March 2016 the Treasury and the FCA reported following a major review into financial advice to establish how the market can function better for consumers. Having thrown out the […] [...]

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