European Regulation - Complyport UK Consultancy Service

GDPR Compliance is now a board level responsibility

Of relevance to: All FCA-regulated firms Key date: Applicable from 25 May 2018 The Financial Conduct Authority (“FCA”) have stated that compliance with the EU General Data Protection Regulation (“GDPR”) […] [...]

FCA CP18/4 The European Money Market Funds Regulation

Of relevance to: All firms managing and/or marketing, advising on and/or distributing money market funds Key date: Comments to FCA by 23 March 2018 The EU Money Market Funds (“MMF”) […] [...]

Brexit: EC notices issued stating potential consequences relating to UCITS, MiFID and AIFMD

Of relevance to: All firms involved in Asset Management and Markets in Financial Instruments Key date: 30 March 2019 The UK will become a ‘third country’ (being a country that […] [...]

LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier

Of relevance to: All firms having dealings on or with the London Stock Exchange’s AIM Key date: Applicable from 3 January 2018 The London Stock Exchange (“LSE”) requires all AIM […] [...]

LEIs: GLEIF publishes Entity Legal Forms Code List

Of relevance to: Any firm subject to MiFID II transaction reporting obligations Key date: LEIs must be in place by 3 January 2018 The Global Legal Entity Identifier Foundation (GLEIF) […] [...]

UK PRIIPs Regulation published – KIDs required 1 January 2018

Of relevance to: Manufacturers of packaged retail and insurance-based investment products and persons advising on, or selling, those products to retail investors Don’t be caught unawares – if you have staff […] [...]

ESMA Q&As on the Market Abuse Regulation (MAR)

Of relevance to: Any firm or individual who directly or indirectly deals in, or any firm who issues, any financial instrument (FI) that is: admitted to trading on a regulated […] [...]

Equities Electronic Trading Questionnaire ready for MiFID II

Of relevance to: Buy-side clients who need to request information from electronic trading providers in the European equity markets Key date: Applicable from 3 January 2018 The Association for Financial […] [...]

Legal Entity Identifiers

Of relevance to: Any firm subject to MiFID II transaction reporting obligations Key date: LEIs must be in place by 3 January 2018 From 3 January 2018, any firm subject […] [...]

Firm Change in Control

Of relevance to: Any firm proposing a change in any shareholder holding 10% or more Key date: Applicable from 1 October 2017 Guidelines issued by the Joint European Supervisory Authorities […] [...]

PRIIPs: Key Information Document Guidelines

At its heart, the Packaged Retail and Insurance-based Investment Products Regulation (“PRIIPs Regulation”) requires retail investors to be provided with a PRIIPS Key Information Document (“KID”) as per Articles 5 and […] [...]

Legal Entity Identifier LEI

Of Relevance to: Most investment firms The concept of the need for, and the use of, a Legal Entity Identifier (“LEI”) for financial transactions was first proposed by the Financial […] [...]

Benchmarks Regulation

Of Relevance to: Benchmark administrators, firms contributing input data to benchmarks and users of benchmarks Both MiFID II and the Packaged Retail and Insurance-based Investments Products Regulation (“PRIIPs”) means that […] [...]

Brexit and Fund Managers

Alternative Investment Fund Managers (AIFMs) and MiFID firms need to consider the impact that Brexit will have on their business in the light of recent opinion issued by ESMA to […] [...]

ESMA Remuneration Guidelines: UCITS and AIFMD

Of relevance to: UCITS management companies and AIFMs UCITS V introduced the concept of remuneration policies and practices for management companies – see Regulatory Roundup 75 for details of ESMA’s […] [...]

PRIIPs Delay

Of relevance to: Most firms providing investment or investment services to retail investors, including AIFMs, UCITS Management Companies and the Authorised Fund Managers of NURS The July edition of the […] [...]

EuVECA & EuSEF: Update

Of relevance to: Managers of EuVECA/EuSEF funds; full-scope AIFMs; managers of funds which may qualify as EuVECA/EuSEF funds The concept of a European Venture Capital Fund (“EuVECA”) and a European […] [...]

AIFMD Passport: ESMA Advice re non-EU Jurisdictions

Of relevance to: AIFMs; non-EU fund managers Although the AIFMD marketing passport simplifies the marketing of EU AIFs by EU AIFMs, under the current AIFMD regime, the marketing by non-EU […] [...]

Securities Financing Transactions Regulation: Disclosure Obligation

Of Relevance to: Firms concluding Securities Financing Transactions Securities Financing Transactions Regulation: Disclosure Obligation A reminder that, as advised in Regulatory Roundup 72, the ‘risks and consequences’ disclosure obligation arising […] [...]

Category: European Regulation

FCA CP18/4 The European Money Market Funds Regulation

Brexit: EC notices issued stating potential consequences relating to UCITS, MiFID and AIFMD

LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier

LEIs: GLEIF publishes Entity Legal Forms Code List

UK PRIIPs Regulation published – KIDs required 1 January 2018

ESMA Q&As on the Market Abuse Regulation (MAR)

Equities Electronic Trading Questionnaire ready for MiFID II

Legal Entity Identifiers

Firm Change in Control

PRIIPs: Key Information Document Guidelines

Legal Entity Identifier LEI

Benchmarks Regulation

Brexit and Fund Managers

ESMA Remuneration Guidelines: UCITS and AIFMD

PRIIPs Delay

EuVECA & EuSEF: Update

AIFMD Passport: ESMA Advice re non-EU Jurisdictions

Securities Financing Transactions Regulation: Disclosure Obligation

INSIGHTS & EXPERTISE

NEWS & EVENTS

Webinar: Beyond Compliance: What the 2025 Consumer Duty Report Tells Us

Webinar: Unlocking the Power of ViCA, Your AI-Powered Virtual Compliance Assistant

Online Training Course: Your MLRO Training Day

Webinar: Navigating the IFPR Impact: Good and Poor Practices Observed

In-Person Training Course: Your MLRO Training Day

In-Person Training Course: Your MLRO Training Day

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