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CRD III or CRD IV?

As will be known (see e.g. Regulatory Roundup 50), CRD IV comes into force on 1 January, although certain BIPRU firms will be able to remain on the current GENPRU/BIPRU […] [...]

COREP Reporting

Firms that will fall under IFPRU will need to submit COREP reporting (see article ‘CRD III or CRD IV?’ above and Regulatory Roundup 48). For the frequency of submission of […] [...]

AIFMD Reporting Update

31 December 2013 will be the first period end date for both full-scope UK AIFMs and small AIFMs to commence reporting under the AIFMD – see SUP 16.8 (clients of […] [...]

Impact of CRD IV on Investment Firms

The FCA has published its 400+ page consultation paper on CRD IV: CP13/6 “CRD IV for investment firms”. The CRD comes into effect on 1 January 2014. The paper advises […] [...]

At an APCIMS conference Clive Adamson, FCA Director of Supervision, outlined the FCA supervision approach. Although the emphasis was upon the Wealth Management and Private Banking sector, firms as a […] [...]

Transaction Reporting Problems

Transaction reporting (SUP 17) continues to be a problem area for firms. RBS is the latest big name to be fined (£5.6m after a discount for early settlement, otherwise it […] [...]

European Market Infrastructure Regulation (EMIR): Reporting Update

The timeline for reporting under EMIR has slipped giving everyone a bit more breathing space. Until the slippage the probable start date for reporting to a Trade Repository (TR) in […] [...]

AIFMD Follow-Up

The AIFMD came into force on 22 July. It would seem that most AIFMs are taking advantage of the one year transitional period, or there is a backlog at the […] [...]

Short Selling

Firms should note that the FCA has amended the short selling notifications process. A new registration form for anyone making notifications for the first time has been developed alongside forms […] [...]

AIFMD: Passporting of Activities

This will be of particular relevance to firms that currently have a MiFID passport and that are, or potentially are, Alternative Investment Fund Managers (AIFMs). In addition to ‘managing an […] [...]

AIFMD: Cooperation Agreements

The FCA has signed supervisory cooperation agreements in the form of memoranda of understanding with 34 non-EEA authorities, following approval of these agreements by ESMA. Under the AIFMD, cooperation agreements […] [...]

UK Investment Management Strategy

Investment management firms will be heartened to learn that the government recognises the importance of the sector to the UK economy in the publication of ‘The UK investment management strategy’. […] [...]

Status Disclosure

Regulatory Roundup 47 reminded firms of the need to update the status disclosures on their stationery to reflect the move from the FSA to the FCA (and PRA where relevant) […] [...]

Remuneration Code – MiFID Version

In September last year ESMA published a consultation paper on ‘Guidelines on remuneration policies and practices (MiFID)’ – see Regulatory Roundup 44. Following feedback ESMA has now issued the final […] [...]

Restrictions on UCIS and ‘Close Substitutes’

The FCA has published policy statement PS13/3: “Restrictions on the retail distribution of unregulated collective investment schemes and close substitutes” and will be of interest to both discretionary portfolio managers […] [...]

FCA (and PRA) Fees 2013/14

As advised in Regulatory Roundup 47, the FCA Business Plan identified an Annual Funding Requirement (AFR) of £432.1m which, of course, has to be met by fees. The FCA has […] [...]

Platform Charges

It has been a long time coming – e.g. see Regulatory Roundup 33 from August 2011 – but the final policy statement on platforms and charging has now been published […] [...]

CRD IV

As a result of intensive – and prolonged – negotiations between the European Council of Ministers, European Parliament and European Commission the 1 January 2013 implementation date of CRD IV […] [...]

FCA Policy Development

The FCA’s first policy development update has recently been published. The document acts as a useful reference source for both recently published consultations etc. which you may have missed, together […] [...]

Category: Latest News

CRD III or CRD IV?

COREP Reporting

AIFMD Reporting Update

Impact of CRD IV on Investment Firms

FCA Supervision Approach

Transaction Reporting Problems

European Market Infrastructure Regulation (EMIR): Reporting Update

AIFMD Follow-Up

Short Selling

AIFMD: Passporting of Activities

AIFMD: Cooperation Agreements

UK Investment Management Strategy

Status Disclosure

Remuneration Code – MiFID Version

Restrictions on UCIS and ‘Close Substitutes’

FCA (and PRA) Fees 2013/14

Platform Charges

CRD IV

FCA Policy Development

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