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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 […] [...]

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 […] [...]

MiFID II Delayed

Of Relevance To Current MiFID firms and those entities falling under the MiFID II regime. MiFID II Delayed The implementation date of the MiFID II framework (both the Directive and […] [...]

UCITS V

Of Relevance To UCITS Management Companies; AIFMs of NURS; depositaries and custodians of UCITS schemes and AIFs. UCITS V The FCA has released Policy Statement PS16/2 “Implementation of the UCITS […] [...]

The Innovative Finance ISA

From 6th April 2016 the FCA rulebook will be changing to pave the way for the new Innovative Finance ISA (“IFISA”) which is part of the Government plan to allow […] [...]

Persons with Significant Control Register Obligation

A reminder that the obligation to maintain a Register of Persons with Significant Control (“PSC”) commences 6 April 2016 – see Regulatory Roundup 62 for background details; note that the […] [...]

Contract for Difference Products: FCA Concerns

Following a review of new client take-on procedures in a sample of ten firms that offered contract for difference (“CFD”) products, the FCA has published a ‘Dear CEO’ letter. We […] [...]

Client Money: Loan-Based Crowdfunding CP16/4

Since the FCA assumed responsibility for the regulation of loan-based crowdfunding in April 2014, an investor’s money, subject to certain transitional provisions, held by a platform (P2P agreements) – both […] [...]

Thematic Review: Inside Information

The FCA has published its findings on yet another thematic review – this time looking at ‘Flows of Confidential and Inside Information’ (TR15/13). The review sample consisted of 16 mostly small […] [...]

Thematic Review: Wealth Management and Suitability

The FCA has published its thematic review of wealth management firms and private banks and the suitability of investment portfolios (TR15/12). This is not the first time the regulator has […] [...]

EMIR: Mandatory Clearing Regulation and Frontloading

The Commission Delegated Regulation (2015/2205) on the mandatory clearing of certain OTC derivative contracts through central counterparties (see Regulatory Roundup 67) under Article 4 of EMIR has now been published […] [...]

Disclosures and Transparency

Implementation of the Transparency Directive Amending Directive (TDAD) (2013/50) has led to some changes to the Disclosure Rules and Transparency Rules sourcebook (DTR) which came into effect on 26 November […] [...]

Remuneration under CRD 4: Role-Based Allowances

As we know, the European Banking Authority’s consultation on ‘Sound Remuneration Policies’ (CP 2015/03) closed on 4 June – see Regulatory Roundup 65. Among the aspects touched upon in the […] [...]

Asset Management: Under the Microscope

The FCA’s Business Plan for 2015/16 Included an intention to undertake a market study into asset management – see Regulatory Roundup 64. The terms of reference of the study has […] [...]

What’s in the Sandbox?

The spring of 2016 should see the FCA opening its ‘regulatory sandbox’ to interested parties. The concept of the sandbox is an extension of the FCA’s Project Innovate initiative – […] [...]

Disclosure Requirements

The FCA’s commitment to create a sustainable regulatory framework – and recognition that overloading consumers with information that may be complex and poorly presented can lead to people making poor […] [...]

UCITS V: HM Treasury Consultation

In September the FCA published it consultation paper (CP 15/27) on the implementation of UCITS V – see Regulatory Roundup 68 for further details. HM Treasury has now published a […] [...]

Pension Changes to Enhance Consumer Protection

After much debate the FCA is proposing changes to the pension rules to address the risks and challenges faced by consumers in the new retirement market. The FCA’s paper contains […] [...]

UCITS V Developments

Following the recent ESMA Consultation Paper on remuneration policies under UCITS V (see Regulatory Roundup 66) the FCA has published CP15/27 “UCITS V implementation and other changes to the Handbook […] [...]

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