Latest News - Complyport - Your Trusted Partner in Governance, Risk, Compliance & Technology

Submission of Annual Accounts

Under SUP 16.12 firms are required to send various data item returns to the FCA, most of which are submitted electronically. Annual report and accounts are an exception in that […] [...]

Country by Country Reporting

A reminder to those firms subject to CRD IV of the 1 July 2014 deadline in respect of the first ‘Country by Country’ disclosure – see Regulatory Roundup 52. This […] [...]

AIFMD: Authorisation Deadline Approaches

Alternative Investment Fund Managers making use of the transitional provisions within the AIFMD are reminded that the deadline for the submission of an application for authorisation is 22 July 2014. […] [...]

MiFID II

Back in November 2011, Regulatory Roundup 36 contained an article on the long-awaited draft for a revised MiFID (MiFID II). Around two and a half years later we have now […] [...]

Remuneration under CRD 4

As will be known, SYSC 19A concerns the ‘CRD 4 Remuneration Code’ which applies to the category of staff set out in SYSC19A.3.4 e.g. staff engaged in control functions – […] [...]

FCA Business Plan 2014/15

The FCA is now a year old and has recently published its second Business Plan, which provides an insight into the areas that the FCA will concentrate on, including by […] [...]

FSCS Levy

The FSCS has published its final levy for 2014/15, being £276m compared to £285m for the previous year. Although the final levy comes in below the earlier indicative levy for […] [...]

FCA Regulated Fees and Levies

As mentioned in the FCA Business Plan article, the FCA’s Annual Funding Requirement (‘AFR’) is identified as £446.4m. A detailed analysis of proposed fees is contained in CP14/6 ‘FCA Regulated […] [...]

FCA Risk Outlook 2014

The publication of the FCA Business Plan 2014/15 (see separate article in this Regulatory Roundup) was accompanied by the FCA Risk Outlook 2014. The FCA Risk Outlook identifies potential issues […] [...]

Supervision of C4 Firms

When the FCA took over from the FSA, it introduced a new approach to supervision, albeit that for many small firms it may have been difficult to spot any practical […] [...]

CRD IV: COREP Reporting

Those firms that fall within CRD IV should have received a FCA notification concerning a delay in the final submission date for the first quarterly COREP report by a month […] [...]

Hedge Fund Survey

The latest (March 2014) Hedge Fund Survey has been released by the FCA. The twice-yearly survey is based upon voluntary participation by the hedge fund industry – the current version […] [...]

AIFMD: ESMA Q&A

ESMA has updated its Q&A on the application of AIFMD. The publication is a modest nine pages and addresses questions in respect of notification of AIFs, reporting to national competent […] [...]

FSCS (and FOS) Exemption

Referring to the article on the FSCS levy a reminder to firms to ensure that, where applicable, they have submitted exemption forms in respect of FSCS and FOS levies. A […] [...]

Complyport News

Complyport has appointed Paul Grainger as CEO replacing Martin Herriot who left the firm in 2013. Paul Grainger takes over from Richard Eagle who has very successfully acted as interim […] [...]

AIFMD: Remuneration

The FCA’s Quarterly Consultation CP14/4 proposes to introduce guidance on SYSC 19C (BIPRU Remuneration Code) to the effect that an AIFM that is also a BIPRU firm that complies in […] [...]

UCITS V

UCITS V is making steady, if slow, progress. A press release by the European Commission informs us that both the European Parliament and the European Council have reached agreement on […] [...]

AIFMD: Other Matters

The Quarterly Consultation (see earlier story, AIFMD: Remuneration) also contained proposals and other matters which will be of interest to AIFMs. IPRU(INV) 11 contains the prudential rules for both Collective […] [...]

Best Execution in Different Markets

Market Watch 45 confirms that the FCA is currently undertaking a thematic review of best execution in different markets. Although the findings will not be published until later this year, […] [...]

FATCA

HMRC has updated its Guidance Notes in respect of FATCA (‘Foreign Account Tax Compliance Act’). Strictly speaking, as far as UK firms are concerned, the Guidance Notes relate to the […] [...]

Category: Latest News

INSIGHTS & EXPERTISE

NEWS & EVENTS

Subscribe for Exclusive Regulatory News and Updates

Member of:

Accredited by:

Member of:

Accredited by:

Global Offices

Complyport UK – Headquarters, London Office

Complyport EU – Nicosia Office

Complyport EU – Limassol Office

Complyport UAE – Dubai Office

Complyport India – Mumbai Office

Complyport Mauritius – Port Louis Office