Regulatory News - Complyport UK Consultancy Service

Financial Crime Guide Updates: Here’s what you should know

The Financial Conduct Authority (FCA) has recently released a consultation paper (CP), CP24/9 (CP), proposing updates to its Financial Crime Guide (Guide). This publication reflects the FCA’s ambition to reduce […] [...]

New Rules Will Impact Promotions of High-Risk Products

On 1st December 2022, the rules regarding the issuing of financial promotions on high-risk products will become stricter as the Financial Conducts Authority’s (FCA) new regime comes into effect (FCA’s […] [...]

IFPR – Summary of the Third IFPR Consultation Paper – CP21/26

The FCA has published its third Consultation Paper on the implementation of the Investment Firms Prudential Regime (IFPR) (CP21/26), which will take effect from January 2022. CP21/26 is the third […] [...]

The Coronavirus (COVID-19) Pandemic: A Summary of FCA Guidance & Regulatory Developments in the EU’s Investment Services and Capital Markets Sectors

The FCA has issued the following guidance to the financial services industry regarding the response that FCA expects firms to take in response to the Coronavirus (COVID-19) pandemic. The FCA […] [...]

Are you ready for the reporting obligations under SFTR?

In 2016, as a response to the many risks posed by shadow banking, the EU introduced the Securities Financing Transaction Regulation (“SFTR”), a set of new requirements aimed at improving […] [...]

Brexit — FCA’s expectations of firms

The Treasury has published legislation to give the UK financial regulators the power to make transitional provisions connected to changes to financial services legislation. If the UK leaves the EU […] [...]

FCA Unhappy With The Current Standard Of Pension Transfer Advice

Pension Transfers in the Headlines Again… What is the issue? The FCA has issued the results of its recent work on the standards of pension transfer advice and has concluded […] [...]

ESMA renews CFD Restrictions

The European Securities and Markets Authority (ESMA) has agreed to renew the restriction on the marketing, distribution or sale of contracts for differences (CFDs) to retail clients, in effect since […] [...]

Update and clarifications of the AIFMD Notifications

ESMA has added a new Q&A clarifying the application of the Alternative Investment Fund Managers Directive (“AIFMD”) notification requirements with regard to AIFMs managing umbrella Alternative Investment Funds (“AIFs”) on […] [...]

FCA confirms final rules on pension transfer advice

The Financial Conduct Authority (“FCA”) has published feedback and final rules and guidance following its consultation on improving the quality of pension transfer advice. The FCA Policy Statement, (PS18/20) contains […] [...]

Pakistan added to High Risk Jurisdictional List

On 22nd August, the European Commission (EC) published a delegated regulation it adopted in July, which amended the list of high-risk third countries set out in Delegated Regulation 2016/1675, which […] [...]

SM&CR — Insurers Conversion Forms Open

Insurers can now access and submit the draft forms for converting Approved Persons Regime (APR) approvals to Senior Management Functions (SMFs). The deadline submitting forms is midnight on 2 December […] [...]

FCA consults on new rules to improve the approach to open-ended funds investing in illiquid assets

The FCA is consulting on new rules and guidance to reduce the potential for harm to investors in funds that hold illiquid assets, particularly under stressed market conditions. These measures […] [...]

Brexit — HM Treasury publishes draft Statutory Instrument — MiFID

The European Union (Withdrawal) Act 2018 (EUWA) repeals the European Communities Act 1972 on the day the UK leaves the EU and converts into UK domestic law the existing body […] [...]

FCA consults on its approach ahead of UK’s exit from the EU

On 10th October 2018, the FCA published two consultation papers setting out is proposals in the event the UK leaves the EU on 29 March 2019 without an implementation period. […] [...]

Pension Scams – Regulators urge caution

The Financial Conduct Authority (“FCA”) and The Pensions Regulator (“TPR”) have launched a joint television campaign to raise awareness of pension scams (“ScamSmart”). The campaign aims to educate individuals on […] [...]

CP18/19: Introducing the Directory

With the release of Consultation Paper CP18/19 in July 2018, it was announced by the Financial Conduct Authority (“FCA”) that they intend to set up the ‘Directory’, a new public […] [...]

EU Commission proposes changes to UCITS V and AIFMD safekeeping regimes.

In an attempt to implement the European Securities and Markets Authority (“ESMA”)’s recent opinion on asset segregation and depositary delegation, the EU Commission published two draft Delegated Regulations with the […] [...]

Partnerships under the spotlight

Following the release of the Panama Papers in 2016, the mis-use of partnership structures by certain individuals is still an on-going subject. A consultation paper, published in April 2018 by […] [...]

Category: Regulatory News

Financial Crime Guide Updates: Here’s what you should know

New Rules Will Impact Promotions of High-Risk Products

IFPR – Summary of the Third IFPR Consultation Paper – CP21/26

The Coronavirus (COVID-19) Pandemic: A Summary of FCA Guidance & Regulatory Developments in the EU’s Investment Services and Capital Markets Sectors

Are you ready for the reporting obligations under SFTR?

Brexit — FCA’s expectations of firms

FCA Unhappy With The Current Standard Of Pension Transfer Advice

ESMA renews CFD Restrictions

Update and clarifications of the AIFMD Notifications

FCA confirms final rules on pension transfer advice

Pakistan added to High Risk Jurisdictional List

SM&CR — Insurers Conversion Forms Open

FCA consults on new rules to improve the approach to open-ended funds investing in illiquid assets

Brexit — HM Treasury publishes draft Statutory Instrument — MiFID

FCA consults on its approach ahead of UK’s exit from the EU

Pension Scams – Regulators urge caution

CP18/19: Introducing the Directory

EU Commission proposes changes to UCITS V and AIFMD safekeeping regimes.

Partnerships under the spotlight

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