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Complaints and Professional Contacts

Changes are being made to the Handbook which will mean that certain professional clients will be able to have their complaints dealt with under the Financial Ombudsman Service regime and […] [...]

Hedge Fund Survey

The FCA’s latest Hedge Fund Survey has been published (the data reported is as at September 2014). Whilst the FCA applies certain filters in its selection of firms e.g. multimanager […] [...]

Remuneration under CRD 4 – Update

The consultation period in respect of the European Banking Authority’s (EBA) Consultation paper on ‘Sound Remuneration Policies’ (CP 2015/03) closed on 4 June. The EBA will no doubt be considering […] [...]

European Long Term Investment Funds

The Regulation (2015/760) on European Long Term Investment Funds (ELTIFs) has now been published in the Official Journal – see Regulatory Roundup 64. They are designed to provide long term […] [...]

AIFMs – Changes to Handbook

The FCA’s Quarterly Consultation Paper CP15/8 published this month will be of particular interest to AIFMs (and AIF depositaries) in that it contains various proposed rule changes that will be […] [...]

AIFM Reports Due for the Period Ending 31 December 2014

New FCA Guidance means that the FCA Transparency reporting obligations began on 1 October 2014 for all AIFMs that operated under the transitional provisions. Such firms should report transparency information […] [...]

EuSEF & EuVECA Update

Firms involved in, or considering, the management of Social Entrepreneurship and Venture Capital Funds may be interested to learn that ESMA has updated its Q&A on the application of the […] [...]

AIFMD Passport

Under the AIFMD as it currently stands, a marketing passport is only available to EEA AIFMs marketing EEA AIFs (strictly speaking the AIFMD only refers to EU AIFMs etc. although […] [...]

AIFMD Reporting: FCA Guidance and AIF001/AIF002

This Alert is provided for information purposes about AIFMD Reporting and will be of particular relevance to Alternative Investment Fund Managers (AIFMs) including non-EEA AIFMs marketing in the UK. The […] [...]

Risk Management: Credit Rating Agencies

This will be of particular interest to those firms responsible for the management of AIFs and UCITS (and occupational retirement schemes – IORPS – that are subject to Directive 2003/41/EC). […] [...]

Fixed Overheads

Regulatory Roundup 53 advised that the EBA had published draft Regulatory Technical Standards (RTS) relating to the calculation of own funds based upon fixed overheads required under CRR Article 97. […] [...]

AIFM Prudential Requirements

Now that the transitional period under the AIFMD has passed, more firms will be getting to grips with the obligations of IPRU(INV) 11 which addresses the prudential requirements of both […] [...]

AIFMD and Safe Custody

As part of the implementation of the AIFMD, changes were made to the Regulated Activities Order (RAO) so that firms that were managers of UCITS and AIFs were deemed not […] [...]

AIFMD Reporting Timetable

Those AIFMs that have been authorised under the AIFMD for some time will probably have gotten used to the AIFMD reporting requirements set out in SUP 16.18. However for those […] [...]

AIFMD Reporting: ESMA Guidelines

ESMA updated its AIFMD Reporting Guidelines earlier this month which AIFMs may find useful. For the benefit of those firms that to date have not made reference to the ESMA […] [...]

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 […] [...]

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. […] [...]

AIFMD: ESMA Q&A

ESMA has updated its Q&A on the application of AIFMD. The publication is a modest nine pages and addresses questions in respect of notification of AIFs, reporting to national competent […] [...]

AIFMD: Other Matters

The Quarterly Consultation (see earlier story, AIFMD: Remuneration) also contained proposals and other matters which will be of interest to AIFMs. IPRU(INV) 11 contains the prudential rules for both Collective […] [...]

AIFMD: Remuneration

The FCA’s Quarterly Consultation CP14/4 proposes to introduce guidance on SYSC 19C (BIPRU Remuneration Code) to the effect that an AIFM that is also a BIPRU firm that complies in […] [...]

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