Capital Requirements - Complyport UK Consultancy Service

FCA publishes draft rules on how it will regulate Claims Management Companies

The Financial Conduct Authority (“FCA”) has published draft rules outlining how it will regulate Claims Management Companies (“CMCs”) when regulation passes to it on 1 April 2019. At the same […] [...]

Prudential Supervision ICAAP

On 13 May 2015, the FCA held its first ever Prudential Supervision Forum in which it reminded firms that prudential supervision is “not just about the financials”. As such, firms […] [...]

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 […] [...]

Fixed Overheads Calculation

Under CRD 4 certain firms are required to calculate their Own Funds requirements by reference to fixed overheads in line with Capital Requirements Regulation, Article 97. In addition, full-scope AIFMs […] [...]

Country by Country Reporting

One of the obligations introduced by CRD IV was the Country by Country disclosure, for the financial year, arising from Article 89 of the CRD and with the first full […] [...]

Legal Entity Identifier: CRD IV

The need for a Legal Entity Identifier (LEI) is most probably associated with reporting under EMIR (see Regulatory Roundup 52) although its use is encouraged elsewhere e.g. AIFMD Reporting (see […] [...]

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 […] [...]

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. […] [...]

Recovery and Resolution

IFPRU 2.5 (‘Recovery and resolution plans’) is applicable to all IFPRU investment firms and has been in force since the beginning of this year. It must qualify as one of […] [...]

Complyport’s New COREP Reporting Service

As a consequence of falling under CRD IV, IFPRU firms have to submit their COREP returns to the FCA in XBRL format in line with European requirements. The first submission […] [...]

Remuneration under CRD 4

As will be known, SYSC 19A concerns the ‘CRD 4 Remuneration Code’ which applies to the category of staff set out in SYSC19A.3.4 e.g. staff engaged in control functions – […] [...]

CRD IV: COREP Reporting

Those firms that fall within CRD IV should have received a FCA notification concerning a delay in the final submission date for the first quarterly COREP report by a month […] [...]

Fixed Overheads

Those firms that remain categorised as BIPRU firms, as opposed to those subject to IFPRU, (see e.g. Regulatory Roundup 51) will be aware that calculation of the fixed overheads requirement […] [...]

CRD IV: Remuneration and Risk Takers

The European Commission has adopted Regulatory Technical Standards on the identification of ‘material risk takers’, being those staff whose professional activities have a material impact on a firm’s risk profile […] [...]

CRD IV: Country by Country Reporting

HM Treasury has published ‘The Capital Requirements (Country by Country Reporting) Regulations 2013’. The draft stems from Article 89 of the Capital Requirements Directive and impacts on all ‘institutions’ – […] [...]

COREP Reporting

Firms that will fall under IFPRU will need to submit COREP reporting (see article ‘CRD III or CRD IV?’ above and Regulatory Roundup 48). For the frequency of submission of […] [...]

CRD III or CRD IV?

As will be known (see e.g. Regulatory Roundup 50), CRD IV comes into force on 1 January, although certain BIPRU firms will be able to remain on the current GENPRU/BIPRU […] [...]

Impact of CRD IV on Investment Firms

The FCA has published its 400+ page consultation paper on CRD IV: CP13/6 “CRD IV for investment firms”. The CRD comes into effect on 1 January 2014. The paper advises […] [...]

CRD IV

As a result of intensive – and prolonged – negotiations between the European Council of Ministers, European Parliament and European Commission the 1 January 2013 implementation date of CRD IV […] [...]

Capital Instruments: Pre-Issuance Notification

Firms that are subject to GENPRU are reminded that they must notify the FSA before issuing any capital instruments that they wish to include as regulatory capital. The rules, and […] [...]

Tag: Capital Requirements

FCA publishes draft rules on how it will regulate Claims Management Companies

Prudential Supervision ICAAP

Remuneration under CRD 4 – Update

Fixed Overheads Calculation

Country by Country Reporting

Legal Entity Identifier: CRD IV

AIFM Prudential Requirements

Fixed Overheads

Recovery and Resolution

Complyport’s New COREP Reporting Service

Remuneration under CRD 4

CRD IV: COREP Reporting

Fixed Overheads

CRD IV: Remuneration and Risk Takers

CRD IV: Country by Country Reporting

COREP Reporting

CRD III or CRD IV?

Impact of CRD IV on Investment Firms

CRD IV

Capital Instruments: Pre-Issuance Notification

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