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Financial Sanctions

Of Relevance to All firms Financial Sanctions The Office of Financial Sanctions Implementation (“OFSI”) came into being on 31 March. The OFSI, which is part of HM Treasury, was flagged-up […] [...]

FCA Business Plan 2016/17

Of Relevance to: To all firms FCA Business Plan: 2016/17 The FCA has published its Business Plan for 2016/17, which also includes the ‘Risk Outlook’ (page 12) which effectively feeds […] [...]

Remuneration Guidelines: UCITS V and AIFMD

Of Relevance to: UCITS management companies; AIFMs Remuneration Guidelines: UCITS V and AIFMD UCITS V introduces the need for UCITS management companies to establish and apply remuneration policies and practices […] [...]

Advising on Investments: FAMR

The joint FCA and HM Treasury Financial Advice Market Review (“FAMR”) was launched last year – see Regulatory Roundup 67. The purpose of the review was to examine: the advice […] [...]

Personal Data: US Privacy Shield

As we know, the US ‘Safe Harbor’ scheme was declared invalid by the European Court of Justice in October of last year – see Regulatory Roundup 70. The issue at […] [...]

Client Money: Loan-Based Crowdfunding

Of Relevance to: Firms advising on P2P agreements; all firms undertaking ‘advising on investments Client Money: Loan-Based Crowdfunding The proposed changes to CASS to allow firms to hold money in […] [...]

Liquidity Management in Funds

Of Relevance to: Managers of open-ended investment funds Liquidity Management in Funds The FCA has published comments – there is no stand-alone paper as such – on ‘Liquidity management for […] [...]

Securities Financing Transactions Regulation: ESMA Discussion Paper

Of Relevance to: Firms concluding Securities Financing Transactions Securities Financing Transactions Regulation: ESMA Discussion Paper As advised in Regulatory Roundup 72, reporting and transparency obligations will arise in respect of […] [...]

Complyport CEO talks GRC in Telegraph interview

Governance, Risk and Compliance (GRC) is a term that might more accurately be described as “The business issues that ought to keep directors and senior managers awake at night!” Complyport […] [...]

LLPs and Register of Persons with Significant Control

LLPs and Register of Persons with Significant Control Limited Liability Partnerships (LLPs) are required to register Persons with Significant Control (PSC) from 6th April 2016. This will bring LLPs in […] [...]

Amendment of Director Appointment Records

Amendment of Director Appointment Records Directors will soon be able to have their name removed from the companies register if they did not consent to act as a director. This […] [...]

Brexit – Too close to call

Brexit is the abbreviation for “British Exit” from the European Union (EU). The country will vote on the issue of whether to stay in the EU or leave in a […] [...]

Financial Year 2015: Submissions to the Hong Kong SFC

Of Relevance to: Hong Kong Licenced Firms Financial Year 2015: Submissions to the Hong Kong SFC For Hong Kong Licensed Corporations with a fiscal year ending 31 December, there are […] [...]

Remuneration: Bonus Cap

Of Relevance to: Firms subject to CRD IV (‘IFPRU Investment Firms’) Remuneration: Bonus Cap The European Banking Authority’s Guidelines on sound remuneration policies were published on 21 December last year. […] [...]

Fire-fighting is an expensive solution to a GRC problem

Many businesses don’t recognise they have a GRC problem until it’s too late! Why is this? Why didn’t someone spot the problem and do something about it? More often than […] [...]

EMIR Mandatory Clearing: Credit Default Swaps

Of Relevance to: Those entities subject to EMIR EMIR Mandatory Clearing: Credit Default Swaps As we know, Article 4 of EMIR imposes a clearing obligation on all OTC contracts which […] [...]

The Insurance Distribution Directive

Of Relevance to Insurance product providers and insurance intermediaries The Insurance Distribution Directive The Insurance Mediation Directive (“IMD”), implemented in 2005, regulates the sale of insurance products and was intended […] [...]

MiFID II Delayed

Of Relevance To Current MiFID firms and those entities falling under the MiFID II regime. MiFID II Delayed The implementation date of the MiFID II framework (both the Directive and […] [...]

UCITS V

Of Relevance To UCITS Management Companies; AIFMs of NURS; depositaries and custodians of UCITS schemes and AIFs. UCITS V The FCA has released Policy Statement PS16/2 “Implementation of the UCITS […] [...]

The Innovative Finance ISA

From 6th April 2016 the FCA rulebook will be changing to pave the way for the new Innovative Finance ISA (“IFISA”) which is part of the Government plan to allow […] [...]

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