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AIFMD Reporting Update

31 December 2013 will be the first period end date for both full-scope UK AIFMs and small AIFMs to commence reporting under the AIFMD – see SUP 16.8 (clients of […] [...]

EMIR: TR Reporting

ESMA has just registered the first four trade repositories, two of which are in the UK: UnaVista Ltd and DTCC Derivatives Repository Ltd. In practical terms this means that the […] [...]

European Market Infrastructure Regulation (EMIR): Reporting Update

The timeline for reporting under EMIR has slipped giving everyone a bit more breathing space. Until the slippage the probable start date for reporting to a Trade Repository (TR) in […] [...]

AIFMD Follow-Up

The AIFMD came into force on 22 July. It would seem that most AIFMs are taking advantage of the one year transitional period, or there is a backlog at the […] [...]

AIFMD: Passporting of Activities

This will be of particular relevance to firms that currently have a MiFID passport and that are, or potentially are, Alternative Investment Fund Managers (AIFMs). In addition to ‘managing an […] [...]

AIFMD: Cooperation Agreements

The FCA has signed supervisory cooperation agreements in the form of memoranda of understanding with 34 non-EEA authorities, following approval of these agreements by ESMA. Under the AIFMD, cooperation agreements […] [...]

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 […] [...]

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 […] [...]

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 […] [...]

MiFID II Progress

Regulatory Roundup 36 contained an article on the publication by the EU Commission of a draft for a revised MiFID – a link to the draft can be found within […] [...]

Regulation of Indices

The European Commission has published a consultation paper on the regulation of indices, which follows the recent alleged manipulation of LIBOR, and the European and Japanese equivalents. The paper covers […] [...]

Remuneration Code – MiFID Version

The consultative guidance on Incentives issued by the FSA (see separate article in the Regulatory Roundup) was followed a couple of weeks later by the publication by ESMA of a […] [...]

OTC Clearing and EMIR

In a recent speech David Lawton, Acting Director of Markets at the FSA, provided an update on the progress in implementing the proposed EU regulation covering the trading of OTC […] [...]

UCITS V

A draft proposal for ‘UCITS V’ has been published by the European Commission. The proposal contains amendments to the current UCITS Directive (2009/65/EC) rather than a complete overhaul. Changes include […] [...]

PRIPs

PRIPs (packaged retail investment products) is an EU term as opposed to RIPs (retail investment products) which is an FSA term and will come into being in the forthcoming RDR […] [...]

IMD Proposal

A revision of the Insurance Mediation Directive is proposed with a view to raising standards. The revision is part of a package of three changes issued by the European Commission […] [...]

Compliance Function Guidance

In addition to ‘suitability’ – see separate article – ESMA has also published guidance on MiFID compliance function requirements. Our comments on the earlier consultation paper can be found in […] [...]

Remuneration Policies and AIFMD

Firms considering the impact of the Alternative Investment Fund Managers Directive (AIFMD) will be aware that Article 13 requires the AIFM to have in place remuneration policies and practices for […] [...]

UCITS Q&As Published By ESMA

A couple of ‘Q&A’ style papers on UCITS related matters have been published by ESMA. The first one covers risk measurement and the calculation of global exposure and counterparty risk […] [...]

Cookies

Although not an FSA regulatory matter, this is a reminder to firms that operate websites that ‘new’, EU based, legislation has started to bite since the end of May – […] [...]

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