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

AIFMD: Marketing Reminder

As mentioned in Regulatory Roundup 55 the AIFMD transitional period ends 21 July 2014 and after that date Alternative Investment Fund Managers should either be authorised under the AIFMD or […] [...]

Following the March Consultation Paper (see Regulatory Roundup 54) the FCA has published PS14/11 which confirms the final fees and levies payable for 2014/15. The annual funding requirement (AFR) remains […] [...]

Dealing Commission Discussion: Unbundling

It will be recalled that the FCA published a Policy Statement in May (PS14/7 – see Regulatory Roundup 55) on the use of dealing commission and which contained final revised […] [...]

Wholesale Markets: Competition

Regulatory Roundup 56 advised that the Bank of England, HM Treasury and the FCA were proposing to undertake a joint review of wholesale markets. Following on from this the FCA […] [...]

EMIR: Clearing Update

Under Article 5(2) of EMIR ESMA is required to determine which classes of OTC derivatives should be subject to the clearing obligation and then draft appropriate Regulatory Technical Standards (RTS) […] [...]

FCA: Enhanced Supervision

The FCA has published a policy statement (‘Tackling serious failings in firms’) on how it will address serious failings of standards, governance and culture in firms. Although reference is made […] [...]

FCA: Enforcement and Supervision

No sooner had the FCA issued its policy statement on Enhanced Supervision (‘Tackling serious failings in firms‘ – see previous article in this Regulatory Roundup) than the Regulator published its […] [...]

CASS: Overhaul of Regime

Those firms that do not hold, or control, client assets or client money will doubtless be grateful that they do not have to contend with the 400+ page Policy Statement […] [...]

Wholesale Markets Review

Firms feeling beleaguered from the additional attention from the FCA (see articles on ‘FCA: Enforcement and Supervision‘ and ‘FCA: Enhanced Supervision‘) will probably not have been surprised to learn that […] [...]

EMIR: Additional Reporting

Firms subject to EMIR should be aware that additional (daily) reporting to a Trade Repository (TR) comes into force on 11 August. As will be known, the obligation to report […] [...]

Changes to Dealing Commission Rules

Regulatory Roundup 52 included an article on the FCA’s consultation (CP13/17) on proposed changes to the rules on the use of dealing commission (COBS 11.6). The recently published Policy Statement […] [...]

Submission of Annual Accounts

Under SUP 16.12 firms are required to send various data item returns to the FCA, most of which are submitted electronically. Annual report and accounts are an exception in that […] [...]

Country by Country Reporting

A reminder to those firms subject to CRD IV of the 1 July 2014 deadline in respect of the first ‘Country by Country’ disclosure – see Regulatory Roundup 52. This […] [...]

AIFMD: Authorisation Deadline Approaches

Alternative Investment Fund Managers making use of the transitional provisions within the AIFMD are reminded that the deadline for the submission of an application for authorisation is 22 July 2014. […] [...]

MiFID II

Back in November 2011, Regulatory Roundup 36 contained an article on the long-awaited draft for a revised MiFID (MiFID II). Around two and a half years later we have now […] [...]

Remuneration under CRD 4

As will be known, SYSC 19A concerns the ‘CRD 4 Remuneration Code’ which applies to the category of staff set out in SYSC19A.3.4 e.g. staff engaged in control functions – […] [...]

Complyport’s New COREP Reporting Service

As a consequence of falling under CRD IV, IFPRU firms have to submit their COREP returns to the FCA in XBRL format in line with European requirements. The first submission […] [...]

FCA Business Plan 2014/15

The FCA is now a year old and has recently published its second Business Plan, which provides an insight into the areas that the FCA will concentrate on, including by […] [...]

FSCS Levy

The FSCS has published its final levy for 2014/15, being £276m compared to £285m for the previous year. Although the final levy comes in below the earlier indicative levy for […] [...]

FCA Regulated Fees and Levies

As mentioned in the FCA Business Plan article, the FCA’s Annual Funding Requirement (‘AFR’) is identified as £446.4m. A detailed analysis of proposed fees is contained in CP14/6 ‘FCA Regulated […] [...]

Category: Regulatory News

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