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Non-GABRIEL Paper (NGP) Reports

The FCA has recently circulated some pointers regarding the submission of NGP reports (see Regulatory Roundup 34 for details and a link to FAQs), including a reminder that it is […] [...]

AIFMD Update: CP13/9

Although originally scheduled for ‘February’, the FSA released the eagerly awaited second AIFMD consultation paper (CP13/9 or ‘CP2’) on 19 March. The paper should be read in conjunction with CP1 […] [...]

Out With The Old…

A reminder that the FSA disappears on 1 April to be replaced by the Financial Conduct Authority (FCA) and, for relevant firms, the Prudential Regulation Authority (PRA). The FSA made […] [...]

Status Disclosure

On the matter of ‘status disclosure’ and the cut-over to the FCA (see article ‘Out With The Old…’) firms should not overlook the need to update their stationery when necessary […] [...]

FCA Business Plan

The FCA’s very first Business Plan has been published. As has previously been announced, the FCA will be much more proactive , “acting earlier and more decisively than the FSA”. […] [...]

FCA Risk Outlook

The publication of the FCA’s Business Plan – see separate article – was accompanied by the FCA Risk Outlook 2013. The FCA Risk Outlook identifies potential risks, some of which […] [...]

Corporate Access

There have been a few press articles recently on ‘corporate access’ and the possibility of the FSA taking action against asset managers that use clients’ money to pay for such […] [...]

AML Update

Firms, and MLROs in particular, should be aware that HM Treasury has updated its advisory notice on problem jurisdictions where Enhanced Due Diligence (EDD) is advised and where firms may […] [...]

AIFMD Update: CP12/32

The FSA has issued the first of two consultation papers on the AIFMD – CP12/32 “Implementation of the Alternative Investment Fund Managers Directive, Part 1” (Part 2 is expected in […] [...]

Asset Managers: An Important Message

Between June 2011 and February 2012 the FSA conducted thematic reviews of asset management firms on the subject of managing conflicts of interest. The Regulator identified many failings, which may […] [...]

Financial Crime and Asset Management

The asset management sector appears to be popular with the FSA at the moment (see article on ‘Conflicts of Interest’ in this Regulatory Roundup), given a recent speech by Tracey […] [...]

FSA: Client Assets Unit

Firms that are subject to CASS may find the recent presentation given by Richard Sutcliffe, FSA Head of Client Assets Unit, worth reviewing as it serves to reinforce the FSA’s […] [...]

EMIR Progress

David Lawton, FSA Director of Markets, took the opportunity to remind firms about the progress of the European Market Infrastructure Regulation (EMIR). Since the publication of ESMA’s Consultation Paper on […] [...]

Complyport Wins Thomson Reuters Award

Complyport is delighted to announce it has been awarded the 2012 Best Consulting Firm of the Year at the 8th Annual Thomson Reuters Accelus Compliance Awards – beating five other […] [...]

Reform of Approved Persons Regime

More changes to the Handbook arising from the impending move from the FSA to the FCA/PRA regime are proposed in CP12/26 ‘Regulatory reform: the PRA and FCA regimes for Approved […] [...]

Digital Financial Promotions

The FSA’s Clive Gordon, Conduct Risk, gave a speech on financial promotions, but with particular emphasis on ‘digital media’ – which would encompass social networking websites, forums, blogs, Twitter and […] [...]

The Journey Ahead

A speech by Martin Wheatley, FCA CEO Designate, on 16 October announced the launch of ‘Journey to the FCA’ which sets out how the FCA will approach its regulatory objectives […] [...]

Transactions Actions

Things have been quiet of late in respect of transaction reporting failings by firms since City Index (see Regulatory Roundup 25). However the silence was broken by the publication of […] [...]

Category: Latest News

Non-GABRIEL Paper (NGP) Reports

AIFMD Update: CP13/9

Out With The Old…

Status Disclosure

FCA Business Plan

FCA Risk Outlook

Corporate Access

AML Update

AIFMD Update: CP12/32

Asset Managers: An Important Message

Financial Crime and Asset Management

FSA: Client Assets Unit

EMIR Progress

Complyport Wins Thomson Reuters Award

Reform of Approved Persons Regime

Digital Financial Promotions

The Journey Ahead

Transactions Actions

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Top 10 Compliance Failures in UAE Firms (Based on Real Cases)

Payments & FinTech Compliance in the UAE: The Hidden Risks

Scale & Safeguard: Where Payments Are Changing and Where the Opportunity Really Is

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