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Anti-Money Laundering Action Plan

Of relevance to: All firms and in particular MLROs. Anti-Money Laundering Action Plan The Home Office and HM Treasury have published a joint “Action Plan for anti-money laundering and counter-terrorist […] [...]

Inducements and Conflicts of Interest: Thematic Review

Of Relevance To: MiFID firms; firms undertaking business in respect of retail investment products Inducements and Conflicts of Interest: Thematic Review In January 2014 the FCA published Finalised Guidance FG14/01 […] [...]

Initial Public Offerings – IPO

Of Relevance to: IPO stakeholders including corporate finance advisors, investment banks and buy-side investors. Initial Public Offerings A double IPO offering from the FCA with the publication of both a […] [...]

Fund Management Firms: Thematic Review

Of Relevance to: Fund Management Firms; Financial Advisers; Platform Providers Fund Management Firms: Thematic Review The FCA has carried out a thematic review on UK fund management firms and […] [...]

FCA Fees and Levies 2016-17

Of Relevance to All firms FCA Fees and Levies 2016-17 The FCA has published Consultation Paper CP16/9 “FCA Regulated fees and levies: Rates proposals 2016/17”. Year-on-year the good news for […] [...]

Financial Sanctions

Of Relevance to All firms Financial Sanctions The Office of Financial Sanctions Implementation (“OFSI”) came into being on 31 March. The OFSI, which is part of HM Treasury, was flagged-up […] [...]

FCA Business Plan 2016/17

Of Relevance to: To all firms FCA Business Plan: 2016/17 The FCA has published its Business Plan for 2016/17, which also includes the ‘Risk Outlook’ (page 12) which effectively feeds […] [...]

Remuneration Guidelines: UCITS V and AIFMD

Of Relevance to: UCITS management companies; AIFMs Remuneration Guidelines: UCITS V and AIFMD UCITS V introduces the need for UCITS management companies to establish and apply remuneration policies and practices […] [...]

Advising on Investments: FAMR

The joint FCA and HM Treasury Financial Advice Market Review (“FAMR”) was launched last year – see Regulatory Roundup 67. The purpose of the review was to examine: the advice […] [...]

Personal Data: US Privacy Shield

As we know, the US ‘Safe Harbor’ scheme was declared invalid by the European Court of Justice in October of last year – see Regulatory Roundup 70. The issue at […] [...]

Client Money: Loan-Based Crowdfunding

Of Relevance to: Firms advising on P2P agreements; all firms undertaking ‘advising on investments Client Money: Loan-Based Crowdfunding The proposed changes to CASS to allow firms to hold money in […] [...]

Liquidity Management in Funds

Of Relevance to: Managers of open-ended investment funds Liquidity Management in Funds The FCA has published comments – there is no stand-alone paper as such – on ‘Liquidity management for […] [...]

Securities Financing Transactions Regulation: ESMA Discussion Paper

Of Relevance to: Firms concluding Securities Financing Transactions Securities Financing Transactions Regulation: ESMA Discussion Paper As advised in Regulatory Roundup 72, reporting and transparency obligations will arise in respect of […] [...]

LLPs and Register of Persons with Significant Control

LLPs and Register of Persons with Significant Control Limited Liability Partnerships (LLPs) are required to register Persons with Significant Control (PSC) from 6th April 2016. This will bring LLPs in […] [...]

Amendment of Director Appointment Records

Amendment of Director Appointment Records Directors will soon be able to have their name removed from the companies register if they did not consent to act as a director. This […] [...]

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 […] [...]

Remuneration: Bonus Cap

Of Relevance to: Firms subject to CRD IV (‘IFPRU Investment Firms’) Remuneration: Bonus Cap The European Banking Authority’s Guidelines on sound remuneration policies were published on 21 December last year. […] [...]

EMIR Mandatory Clearing: Credit Default Swaps

Of Relevance to: Those entities subject to EMIR EMIR Mandatory Clearing: Credit Default Swaps As we know, Article 4 of EMIR imposes a clearing obligation on all OTC contracts which […] [...]

The Insurance Distribution Directive

Of Relevance to Insurance product providers and insurance intermediaries The Insurance Distribution Directive The Insurance Mediation Directive (“IMD”), implemented in 2005, regulates the sale of insurance products and was intended […] [...]

Category: Regulatory News

Anti-Money Laundering Action Plan

Inducements and Conflicts of Interest: Thematic Review

Initial Public Offerings – IPO

Fund Management Firms: Thematic Review

FCA Fees and Levies 2016-17

Financial Sanctions

FCA Business Plan 2016/17

Remuneration Guidelines: UCITS V and AIFMD

Advising on Investments: FAMR

Personal Data: US Privacy Shield

Client Money: Loan-Based Crowdfunding

Liquidity Management in Funds

Securities Financing Transactions Regulation: ESMA Discussion Paper

LLPs and Register of Persons with Significant Control

Amendment of Director Appointment Records

Financial Year 2015: Submissions to the Hong Kong SFC

Remuneration: Bonus Cap

EMIR Mandatory Clearing: Credit Default Swaps

The Insurance Distribution Directive

INSIGHTS & EXPERTISE

NEWS & EVENTS

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Why Most AML Frameworks in the UAE Fail and How to Fix Them Fast

Webinar: The Corporate Response to Fraud: Risk, Reputation and Recovery

Surviving a CBUAE / DFSA Inspection: A Practical Playbook

Vulnerable Customers: From FCA Expectations to Practical Compliance

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