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AIFMD Reporting: FCA Guidance and AIF001/AIF002

This Alert is provided for information purposes about AIFMD Reporting and will be of particular relevance to Alternative Investment Fund Managers (AIFMs) including non-EEA AIFMs marketing in the UK. The […] [...]

Changes in Reporting of Adviser Charges

The Background The FCA, in Policy Statement PS14/13, announced the streamlining of elements of the reporting requirements for firms providing personal recommendations to retail clients in relation to retail investment […] [...]

FCA secures fine of £3.2M for insider dealers

Seven insider dealers have been ordered to pay £3.2 million following a court case bought by the FCA. According to the FCA, the seven men obtained market sensitive information from […] [...]

AIFM Prudential Requirements

Now that the transitional period under the AIFMD has passed, more firms will be getting to grips with the obligations of IPRU(INV) 11 which addresses the prudential requirements of both […] [...]

AIFMD and Safe Custody

As part of the implementation of the AIFMD, changes were made to the Regulated Activities Order (RAO) so that firms that were managers of UCITS and AIFs were deemed not […] [...]

AIFMD Reporting Timetable

Those AIFMs that have been authorised under the AIFMD for some time will probably have gotten used to the AIFMD reporting requirements set out in SUP 16.18. However for those […] [...]

COBS and CoCos

A new chapter in COBS came into force on 1 October – COBS 22 “Restrictions on distribution of contingent convertible instruments”. The provisions are effectively a copy of the short-lived […] [...]

Risk Management: Credit Rating Agencies

This will be of particular interest to those firms responsible for the management of AIFs and UCITS (and occupational retirement schemes – IORPS – that are subject to Directive 2003/41/EC). […] [...]

Submission of Annual Accounts (FIN-A)

The rules surrounding the need to submit annual report and accounts via GABRIEL using FIN-A upload functionality (see Regulatory Roundup 55) will come into force this coming 31 December. The […] [...]

UCITS V

Those firms subject to UCITS may want to note on the calendar that UCITS V (Directive 2014/91/EU) came into force on 17 September (see also Regulatory Roundup 53). However there […] [...]

Fixed Overheads

Regulatory Roundup 53 advised that the EBA had published draft Regulatory Technical Standards (RTS) relating to the calculation of own funds based upon fixed overheads required under CRR Article 97. […] [...]

Recovery and Resolution: Simplified Obligations

Regulatory Roundup 58 included an article on the Recovery and Resolution Directive (RRD) which will impact upon ‘institutions’, a term which covers both credit institutions and investment firms (an IFPRU […] [...]

Changes to Companies Act

The ‘Small Business, Enterprise and Employment Bill’ is progressing through Parliament. Aside from topics ranging from zero hours contracts to public houses code via childcare and schools, some changes to […] [...]

Corporate Governance

The Financial Reporting Council (‘FRC’) has updated the UK Corporate Governance Code (‘Code’). Although all companies can use the Code as a source of reference in establishing their corporate governance […] [...]

An Independent Scotland

The Scottish Independence Referendum takes place on Thursday 18th September and within a few days after, we will know whether the system of financial regulation in Scotland is to remain […] [...]

Best Execution and Payment for Order Flow: The FCA talks tough

Recipients of our recent Regulatory Roundup (issue 58) may have read the article on ‘Best Execution and Payment For Order Flow’ following the publication by the FCA of its findings […] [...]

Best Execution and Payment For Order Flow

Following a thematic review of best execution (see Regulatory Roundup 53) the FCA has now published the results of its findings – TR14/13: “Best execution and payment for order flow”. […] [...]

New Remuneration Code

The FCA and PRA have issued a joint Consultation Paper: ‘Strengthening the alignment of risk and reward; new remuneration rules’ (CP14/14 – or CP15/14 from a PRA perspective). As will […] [...]

Connect vs. ONA

A reminder to firms that the FCA’s Online Notifications and Applications system (ONA), under which applications for Approved Persons, Variations of Permission etc. are submitted, will be largely replaced by […] [...]

AIFMD Reporting: ESMA Guidelines

ESMA updated its AIFMD Reporting Guidelines earlier this month which AIFMs may find useful. For the benefit of those firms that to date have not made reference to the ESMA […] [...]

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