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Illiquid Assets and Open-ended Funds

Of Relevance to: Managers of open-ended funds The FCA has published Discussion Paper DP17/1 on “Illiquid assets and open-ended funds”. DP17/1 concerns itself with the liquidity within a scheme – […] [...]

Variation Margin

Of Relevance to: Firms trading in OTC derivatives A reminder that the EMIR Variation Margin Regulations (2016/2251) apply from 1 March 2017 in respect of uncleared OTC derivatives (although it […] [...]

EMIR – Reporting to Trade Repositories Revision

Of Relevance to: Firms subject to EMIR The minimum details to be reported to a Trade Repository currently sit within Regulatory Technical Standards (“RTS”) Delegated Regulation 148/2013, with the format […] [...]

UCITS and AIFs: Transparency Requirements

Of relevance to: UCITS management companies and AIFMs UCITS and AIFs: Transparency Requirements A reminder to UCITS management companies and AIFMs that certain transparency obligations arising under the Securities Financing […] [...]

European Market Infrastructure Regulation (“EMIR”): Final call for backloading

Of relevance to: those entities subject to EMIR It’s now nearly three years (12 February 2014) since the reporting obligation to report to a Trade Repository under EMIR came into […] [...]

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 […] [...]

Crowdfunding: FCA Interim Report

Of Relevance to: Firms offering crowdfunding Responses to its ‘call for input’ in July of this year on crowdfunding has left the FCA feeling that there is evidence of potential […] [...]

FSCS Review

Of Relevance to; All firms, particularly those with clients that qualify as ‘eligible claimants’ The FCA has published consultation paper CP16/42 “Reviewing the funding of the Financial Services Compensation Scheme […] [...]

CFDs – Enhanced Conduct of Business Rules

Of Relevance to: Firms providing and/or distributing retail CFD products (and binary options) Given the concerns that the FCA has previously expressed on the distribution of contracts for difference (“CFD”) […] [...]

Investment Firms: New Prudential Regime Discussion Paper

Of relevance to: MiFID investment firms, UCITS management companies and AIFMs that conduct permissible MiFID activities, particularly those subject to CRD IV In December 2015 a joint ESMA/EBA report was […] [...]

FCA Asset Management Market Study: Interim Report

Of relevance to: The asset management sector In November 2015 the FCA published its terms of reference in relation to the intention to undertake a market study into asset management […] [...]

PRIIPs: Implementation Delay Confirmed

Of relevance to: Most firms providing investments or investment services to retail investors, including AIFMs, UCITS Management Companies and the Authorised Fund Managers of NURS As advised in Regulatory Roundup […] [...]

Brexit and Article 50

By now we will all be aware of the decision of the High Court in Gina Miller & Deir Tozetti Dos Santos v The Secretary of State to the effect that […] [...]

Regulatory References Update

Of Relevance to: All firms In October 2015 the FCA launched a joint Consultation Paper (CP15/31) with the PRA on “Strengthening accountability in banking and insurance: regulatory references” – see […] [...]

CFDs and other Speculative Products

Of relevance to: Firms involved in CFDs and similar products such as binary options and rolling spot forex ESMA has updated its Q&As on ‘the provision CFDs and other speculative […] [...]

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 […] [...]

Investment and Corporate Banking: Final Report

Of relevance to: IPO stakeholders including corporate finance advisers, investment banks and buy-side investors In May 2015 the FCA launched a market study into investment and corporate banking by publishing […] [...]

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 […] [...]

Introducers: FCA Concerns

Of relevance to: Firms accepting business from unauthorised introducers “Introducing” is one of those problematical activities that can either fall outside FCA regulation or fall inside FCA regulation depending upon […] [...]

Activities and Exam Qualifications

Of relevance to: Firms and their employees where appropriate qualifications are required under TC The title of the FCA’s latest Consultation Paper CP16/24 “Review of the FCA’s appropriate qualification exam […] [...]

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