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Recovery and Resolution: Resolution

As we know, the Bank of England (BoE) will be the Resolution Authority for the UK – see ‘Recovery and Resolution’ article in Regulatory Roundup 58 – albeit that the […] [...]

Risk Management: Credit Rating Agencies

This will be of particular interest to those firms responsible for the management of AIFs and UCITS (and occupational retirement schemes – IORPS – that are subject to Directive 2003/41/EC). […] [...]

Submission of Annual Accounts (FIN-A)

The rules surrounding the need to submit annual report and accounts via GABRIEL using FIN-A upload functionality (see Regulatory Roundup 55) will come into force this coming 31 December. The […] [...]

UCITS V

Those firms subject to UCITS may want to note on the calendar that UCITS V (Directive 2014/91/EU) came into force on 17 September (see also Regulatory Roundup 53). However there […] [...]

Fixed Overheads

Regulatory Roundup 53 advised that the EBA had published draft Regulatory Technical Standards (RTS) relating to the calculation of own funds based upon fixed overheads required under CRR Article 97. […] [...]

Recovery and Resolution: Simplified Obligations

Regulatory Roundup 58 included an article on the Recovery and Resolution Directive (RRD) which will impact upon ‘institutions’, a term which covers both credit institutions and investment firms (an IFPRU […] [...]

Changes to Companies Act

The ‘Small Business, Enterprise and Employment Bill’ is progressing through Parliament. Aside from topics ranging from zero hours contracts to public houses code via childcare and schools, some changes to […] [...]

Corporate Governance

The Financial Reporting Council (‘FRC’) has updated the UK Corporate Governance Code (‘Code’). Although all companies can use the Code as a source of reference in establishing their corporate governance […] [...]

AIFM Prudential Requirements

Now that the transitional period under the AIFMD has passed, more firms will be getting to grips with the obligations of IPRU(INV) 11 which addresses the prudential requirements of both […] [...]

AIFMD and Safe Custody

As part of the implementation of the AIFMD, changes were made to the Regulated Activities Order (RAO) so that firms that were managers of UCITS and AIFs were deemed not […] [...]

AIFMD Reporting Timetable

Those AIFMs that have been authorised under the AIFMD for some time will probably have gotten used to the AIFMD reporting requirements set out in SUP 16.18. However for those […] [...]

COBS and CoCos

A new chapter in COBS came into force on 1 October – COBS 22 “Restrictions on distribution of contingent convertible instruments”. The provisions are effectively a copy of the short-lived […] [...]

AIFMD Reporting: ESMA Guidelines

ESMA updated its AIFMD Reporting Guidelines earlier this month which AIFMs may find useful. For the benefit of those firms that to date have not made reference to the ESMA […] [...]

Recovery and Resolution

IFPRU 2.5 (‘Recovery and resolution plans’) is applicable to all IFPRU investment firms and has been in force since the beginning of this year. It must qualify as one of […] [...]

Retrospective Application of Rules

Amongst the various areas for action in the FCA’s Business Plan for 2014/15 that was published in March was work to be carried out in respect of the ‘expectations gap’. […] [...]

EMIR Review

With reporting under EMIR having been in place for around six months, the FCA has undertaken an EMIR review to find out how industry dealt with the new obligations. It […] [...]

Best Execution and Payment For Order Flow

Following a thematic review of best execution (see Regulatory Roundup 53) the FCA has now published the results of its findings – TR14/13: “Best execution and payment for order flow”. […] [...]

New Remuneration Code

The FCA and PRA have issued a joint Consultation Paper: ‘Strengthening the alignment of risk and reward; new remuneration rules’ (CP14/14 – or CP15/14 from a PRA perspective). As will […] [...]

Connect vs. ONA

A reminder to firms that the FCA’s Online Notifications and Applications system (ONA), under which applications for Approved Persons, Variations of Permission etc. are submitted, will be largely replaced by […] [...]

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