Reporting - Complyport UK Consultancy Service

LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier

Of relevance to: All firms having dealings on or with the London Stock Exchange’s AIM Key date: Applicable from 3 January 2018 The London Stock Exchange (“LSE”) requires all AIM […] [...]

Legal Entity Identifier LEI

Of Relevance to: Most investment firms The concept of the need for, and the use of, a Legal Entity Identifier (“LEI”) for financial transactions was first proposed by the Financial […] [...]

Investment Firms: New Prudential Regime Update

Of Relevance to: MiFID investment firms, UCITS Management Companies and AIFMs that conduct permissible MiFID activities, particularly those subject to CRD IV As we know, ESMA and the EBA published […] [...]

SFTR – Transparency Requirements for UCITS and AIFs

SFTR – Transparency Requirements for UCITS and AIFs Of Relevance to: UCITS Management Companies and AIFMs Although the principal requirement under the Securities Financing Transactions Regulation (2015/2365) (“SFTR”) is the […] [...]

EMIR Review

Of Relevance to: Firms subject to European Markets Infrastructure Regulation The FCA has issued an EMIR update alert to inform us that the European Commission has published proposals to amend […] [...]

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 […] [...]

AIFMD: Annex IV Reporting

A reminder that the 31 December 2015 is a key reporting date for AIFMs: both small registered AIFMs and small authorised AIFMs are required to report annually with the reporting […] [...]

AIFMD: Annex IV Reporting Issues

Problems encountered by firms in meeting the demanding Annex IV reporting requirements (SUP 16.18) has led the FCA to issue a further set of Q&As to assist firms and which: […] [...]

GABRIEL Filings – FSA055 – Systems and Controls Questionnaire

Non-ILAS BIPRU firms, a term which also captures IFPRU limited-licence and limited activity firms, will be familiar with the FSA055 Systems and Controls Questionnaire which is required to be submitted […] [...]

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 […] [...]

Category: Reporting

LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier

Legal Entity Identifier LEI

Investment Firms: New Prudential Regime Update

SFTR – Transparency Requirements for UCITS and AIFs

EMIR Review

Variation Margin

EMIR – Reporting to Trade Repositories Revision

UCITS and AIFs: Transparency Requirements

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

AIFMD: Annex IV Reporting

AIFMD: Annex IV Reporting Issues

GABRIEL Filings – FSA055 – Systems and Controls Questionnaire

Connect vs. ONA

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