European Regulation - Complyport UK Consultancy Service

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 […] [...]

FCA’s approach to Brexit – Speech 19 July 2018

The Financial Conduct Authority (“FCA”) has been steadily building up their International Division to ensure they can drive forward the policy and deliver the work that is required, after Brexit, […] [...]

Financial services legislation after Brexit – announcements from HMT and FCA

The government have set out their approach to financial services legislation after Brexit under the European Union (Withdrawal) Act (“EUWA”), which forms part of the wider work the government is […] [...]

Money Market Funds Regulations 2018

The Money Market Funds Regulations 2018 (the “UK MMF Regulations”) are made in relation to EU Regulation 2017/1131 on money market funds (“MMF Regulation”) which will apply in the UK […] [...]

FCA Asset Management Conference – Insights

On 12 June, London’s Queen Elizabeth II Centre was home to the FCA Asset Management Conference 2018. The conference began with a keynote speech by Andrew Bailey, the Chief Executive […] [...]

ESMA Guidelines on aspects of MiFID II suitability requirements

The European Securities and Markets Authority (“ESMA”) has published its Final Report on Guidelines on certain aspects of the Markets in Financial Instruments Directive (“MiFID II”) suitability requirements. The assessment […] [...]

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 […] [...]

Sanctions and Anti-Money Laundering Act 2018

Of relevance to: All regulated firms Key date: Royal Assent 23 May 2018 The Sanctions and Anti-Money Laundering Act 2018 received Royal Assent on 23 May 2018, creating a new […] [...]

FCA retires Finalised Guidance 12/15 and 14/1 on describing advice services and inducements

Of relevance to: All firms providing advice on or distributing retail investment products and financial instruments to retail clients Key date: With immediate effect Two Finalised Guidance publications (FG12/15: Retail […] [...]

ESMA provides one-stop company portal

Of relevance to: All financial service providers authorised within the EU Investors seeking information on whether a financial service provider is authorised within the European Union (“EU”) will now be […] [...]

ICO: Data Protection registration and fees

Of relevance to: All firms processing personal data, including data controllers currently registered with the ICO Key date: Applicable from 25 May 2018 The General Data Protection Regulation (“GDPR”) removes […] [...]

5th revision of the MLD will bring greater transparency of beneficial ownership and enhance other areas

Of relevance to: All firms Key date: Adoption by July 2020 A fifth revision of the Money Laundering Directive (“5MLD”) – the current European Directive 2015/849 is the fourth […] [...]

ESMA Technical Advice simplifying prospectuses format and content

Of relevance to: All firms involved in the production of prospectuses when securities are offered to the public or admitted to trading on a regulated market Key date: 21 January […] [...]

ESMA prohibits binary options and restricts CFDs to protect retail investors

Of relevance to: All firms providing contracts for differences and/or binary options to retail investors Key date: Applicable from two months, for CFDs, and one month, for binary options, after […] [...]

GDPR – Are you ready?

Of relevance to: All firms Key date: Are you ready for 25 May 2018? Are you ready? On 25 May 2018, the General Data Protection Regulation (“GDPR”) will come into […] [...]

ESMA updated Q&As on Markets in Financial Instruments Directive and Regulation, Market Abuse Regulation, Benchmarks Regulation and Central Securities Depository Regulation

Of relevance to: All firms affected by MiFID/MiFIR, MAR, BMR and/or CSDR Key date: Applicable from 23 March 2018 The European Securities and Markets Authority (“ESMA”) has updated its Questions […] [...]

Category: European Regulation

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

FCA’s approach to Brexit – Speech 19 July 2018

Financial services legislation after Brexit – announcements from HMT and FCA

Money Market Funds Regulations 2018

FCA Asset Management Conference – Insights

ESMA Guidelines on aspects of MiFID II suitability requirements

Sanctions and Anti-Money Laundering Act 2018

FCA retires Finalised Guidance 12/15 and 14/1 on describing advice services and inducements

ESMA provides one-stop company portal

5th revision of the MLD will bring greater transparency of beneficial ownership and enhance other areas

ESMA Technical Advice simplifying prospectuses format and content

ESMA prohibits binary options and restricts CFDs to protect retail investors

ESMA updated Q&As on Markets in Financial Instruments Directive and Regulation, Market Abuse Regulation, Benchmarks Regulation and Central Securities Depository Regulation

Brexit: Draft UK EU Withdrawal Agreement

Proposed changes to the AIFM and UCITS Directives

Brexit: FCA Survey for EEA inbound passported firms

FCA and PRA multi-firm review on Algorithmic Trading Compliance in Wholesale Markets

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