International - Complyport - Your Trusted Partner in Governance, Risk, Compliance & Technology

Brexit: Draft UK EU Withdrawal Agreement

Of relevance to: All firms in the UK’s financial services sector Key date: 29 March 2019 The Draft Agreement on the withdrawal of the United Kingdom of Great Britain and […] [...]

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) […] [...]

Hong Kong SFC: Manager-in-Charge Requirements

Of Relevance to: Hong Kong Licensed Firms A reminder that the SFC’s rules for the Manager-in-Charge requirements (“MIC Rules”) came into effect on 18 April 2017, with the need for […] [...]

FX Global Code

Of Relevance to: FX Market Participants This new Code is relevant to all FX market participants, whether buy-side or sell-side, regardless of ‘product’, including E-Trading Platforms (page 4 provides a […] [...]

Financial Year 2016: Submissions to the SFC

Of interest to: Hong Kong Licenced Firms A reminder of the annual submissions due to the SFC by Friday 28 April 2017 for firms having their financial year ending December: […] [...]

Mandatory Use of SFC Online Portal

Of interest to: Hong Kong Licenced Firms Effective 1 February 2017, all Hong Kong Securities and Futures Commission (“SFC”) applications, notifications and annual returns filed by Licensed Representatives (which includes […] [...]

AIFMD Passport: Non-EU Jurisdictions

Of relevance to: AIFMs and, non-EU fund managers As we know (see Regulatory Roundup 78) the AIFMD allows for the extension of the marketing passport to EU AIFMs of non-EU […] [...]

Brexit and its Implications

Brexit and its Implications The votes have been counted and ‘Brexit’ has won the day. The UK electorate has voted 52% to 48% to leave the European Union (EU). The […] [...]

Financial Year 2015: Submissions to the Hong Kong SFC

Of Relevance to: Hong Kong Licenced Firms Financial Year 2015: Submissions to the Hong Kong SFC For Hong Kong Licensed Corporations with a fiscal year ending 31 December, there are […] [...]

FAST Act Amendment to Disclosure Requirements

The President of the United States, Barack Obama, signed into law the Fixing America’s Surface Transportation (“FAST”) Act on 4 December 2015. The FAST Act included an amendment of the […] [...]

Common Reporting Standards: FATCA

The International Tax Compliance Regulations 2015 (SI 2015/878) came into force in April this year which capture: The OECD’s Common Reporting Standards (CRS) The Directive on Administrative Cooperation (DAC) (2011/16) […] [...]

AIFMD & ESMA

The European Securities and Markets Authority (ESMA – previously CESR) has published a 430+ page consultation on implementing measures for the AIFMD. Issues addressed include ‘General provisions’ (e.g. organisational requirements; […] [...]

AIFMD Comes Into Force

The Alternative Investment Fund Managers Directive (AIFMD) – see past Regulatory Roundups e.g. No. 15 – has taken a long time coming (the original proposal was back in April 2009) […] [...]

Commentary on SEC Letter Dated 8 April

A letter from the US Securities and Exchanges Commission (‘SEC’) to the North American Securities Administrators Association, sent on 8 April, provides an indication that the SEC will look to […] [...]

EU Framework for Short Selling & CDS

An article on short selling in Regulatory Roundup 10 advised that a CESR report recommended the introduction of a pan-European short selling disclosure regime. The European Commission has now published […] [...]

Dodd-Frank revisited

Following on from Regulatory Roundup #17 we have had requests for further details on the regulatory developments within the US. As you will know, the ‘Dodd Bill’ was enacted on […] [...]

Who, where and what ESAs

As you will be aware from Regulatory Roundup #15, the European Commission has proposed the establishment of a European System of Financial Supervisors (ESFS) which will be composed of national […] [...]

Non-US managers face dual registration

The US President has this week signed the H.R. 4173 ‘Restoring American Financial Stability Act of 2010’ (which can be found via the link). Contained within ‘Title IV–Regulation of Advisers […] [...]

FSA’s AIFM directive presentation

In early June the FSA held a presentation on the AIFM directive. The link will take you to the slides used for the FSA’s AIFM directive presentation. Slides 14 & […] [...]

AIFM directive delay

Rapporteur Jean-Paul Gauzès has now announced that the Parliamentary vote on the AIFM directive will be delayed from July until September. The UK is said to be pushing for second […] [...]

Category: International

INSIGHTS & EXPERTISE

NEWS & EVENTS

Subscribe for Exclusive Regulatory News and Updates

Member of:

Accredited by:

Member of:

Accredited by:

Global Offices

Complyport UK – Headquarters, London Office

Complyport EU – Nicosia Office

Complyport EU – Limassol Office

Complyport UAE – Dubai Office

Complyport India – Mumbai Office

Complyport Mauritius – Port Louis Office