Corporate Governance - Complyport UK Consultancy Service

FCA publishes draft rules on how it will regulate Claims Management Companies

The Financial Conduct Authority (“FCA”) has published draft rules outlining how it will regulate Claims Management Companies (“CMCs”) when regulation passes to it on 1 April 2019. At the same […] [...]

Data Protection Act 2018

Of relevance to: All regulated firms Key dates: Royal Assent 23 May 2018 The Data Protection Act 2018 replaces the Data Protection Act 1998 and provides a comprehensive legal framework […] [...]

FCA publishes its Business Plan for 2018/19

Of relevance to: All firms The Financial Conduct Authority (“FCA”) has set out its key priorities for the coming year in its Business Plan for 2018/19, along with its […] [...]

FCA CP17/37 Industry Codes of Conduct and Discussion on Principle 5 Market Conduct

Of relevance to: Authorised firms, particularly those already subject to the Senior Managers and Certification Regime, including banks, building societies, credit unions and certain large investment banks Key date: Comments […] [...]

Notification of Major Interest in Shares

Of Relevance to: Firms subject to the Disclosure Guidance and Transparency Rules sourcebook (DTR) Under DTR 5, a person is required to notify the issuer (and, under DTR 5.9, the […] [...]

Private Fund Limited Partnerships

Private Fund Limited Partnerships Of Relevance to: Managers of private equity and venture capital funds; managers of unauthorised collective investment schemes A reminder that ‘The Legislative Reform (Private Fund Limited […] [...]

MiFID II and the Senior Managers Regime

Complyport & Alexander Lloyd hosted a breakfast seminar on MiFID II and the Senior Managers Regime with a Governance Risk and Compliance (GRC) perspective. Click here to see slides [...]

CFDs – Enhanced Conduct of Business Rules

Of Relevance to: Firms providing and/or distributing retail CFD products (and binary options) Given the concerns that the FCA has previously expressed on the distribution of contracts for difference (“CFD”) […] [...]

Investment Firms: New Prudential Regime Discussion Paper

Of relevance to: MiFID investment firms, UCITS management companies and AIFMs that conduct permissible MiFID activities, particularly those subject to CRD IV In December 2015 a joint ESMA/EBA report was […] [...]

Regulatory References Update

Of Relevance to: All firms In October 2015 the FCA launched a joint Consultation Paper (CP15/31) with the PRA on “Strengthening accountability in banking and insurance: regulatory references” – see […] [...]

Senior Managers Regime

Last October HM Treasury issued a policy statement in which it advised: the Government considers it appropriate to extend the Senior Managers Regime (SMR) and the Certification Regime (CR) to […] [...]

Thematic Review – Trading

Market Watch 49 published on 3 September is devoted to FCA feedback following a thematic review of commodities trading – although there is no reason why the relevance of some […] [...]

Remuneration – Changes to Handbook

Whilst on the subject of remuneration (see previous article) it may be recalled from Regulatory Roundup 58 that a new Remuneration Code was to be introduced into the Handbook: SYSC […] [...]

Performance Management

The FCA has published Guidance on the risk to customers from performance management at firms (FG15/10) – the paper advises that it will be relevant to all types of firm […] [...]

Complaints

The previous Regulatory Roundup (issue 65) drew attention to changes to the ‘complaints rules’ in DISP which had the effect of classifying certain professional clients as eligible complainants and hence affording […] [...]

Feature – Compliance Management

As the increasing regulatory burden places more demands on a firm’s time, ComplyTracker is an invaluable compliance management tool. What is ComplyTracker? ComplyTracker is an industry-leading compliance management system for […] [...]

Prudential Supervision ICAAP

On 13 May 2015, the FCA held its first ever Prudential Supervision Forum in which it reminded firms that prudential supervision is “not just about the financials”. As such, firms […] [...]

Complaints and Professional Contacts

Changes are being made to the Handbook which will mean that certain professional clients will be able to have their complaints dealt with under the Financial Ombudsman Service regime and […] [...]

Transaction Reporting Failure

Merill Lynch International (MLI) became the twelfth firm to be fined by the Regulator for a transaction reporting failure – the previous one being Deutsche Bank last August. The Final […] [...]

FATCA Reminder

A reminder to those firms subject to FATCA that the first return (in respect of 2014) must be submitted to HMRC by 31 May 2015 (‘the reporting date’). It may […] [...]

Category: Corporate Governance

FCA publishes draft rules on how it will regulate Claims Management Companies

FCA publishes its Business Plan for 2018/19

FCA CP17/37 Industry Codes of Conduct and Discussion on Principle 5 Market Conduct

Notification of Major Interest in Shares

Private Fund Limited Partnerships

MiFID II and the Senior Managers Regime

CFDs – Enhanced Conduct of Business Rules

Investment Firms: New Prudential Regime Discussion Paper

Regulatory References Update

Senior Managers Regime

Thematic Review – Trading

Remuneration – Changes to Handbook

Performance Management

Complaints

Feature – Compliance Management

Prudential Supervision ICAAP

Complaints and Professional Contacts

Transaction Reporting Failure

FATCA Reminder

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