ESMA - Complyport UK Consultancy Service

AIFMD: Passport Extension Update

Last July ESMA provided its advice and opinion to the European Parliament, the Council and the Commission on: the extension of the passport regime to non-EEA AIFMs; and the marketing […] [...]

Guidelines on Cross-Selling

Under MiFID II, Article 24(11), when an investment service is offered with another service or product as part of a package or as a condition for the same agreement, the […] [...]

EBA: Report on Investment Firms and Prudential Requirements

There has long been a recognition within the industry that the prudential requirements of investment firms arising out of the CRD IV framework were first and foremost designed for credit […] [...]

Under Article 25(1) of MiFID 2 (2014/65) firms will be required to ensure (and to demonstrate to competent authorities on request) that persons giving investment advice or information about financial […] [...]

EMIR: Mandatory Clearing

Article 4 of EMIR places a clearing obligation on all OTC derivative contracts which fulfil the conditions therein – but only once ESMA has determined which classes of OTC derivatives […] [...]

EMIR and Frontloading

Firms that will have to come to grips with the ‘frontloading requirement’ (see previous article) will be interested in the recent ESMA Review of the EMIR Framework (2015/1254). The content […] [...]

AIFMD Passport and non-EU Jurisdictions

As mentioned in Regulatory Roundup 60, by 22 July 2015 ESMA has to provide an opinion/advice on: The functioning of the EU AIFM passport (managing and marketing) The extension of […] [...]

Remuneration Guidelines – UCITS V, AIFMD (and CRD IV)

An article in Regulatory Roundup 59 on UCITS V drew attention to the introduction of the concept of remuneration policies for UCITS management companies, with ESMA being charged with drawing […] [...]

Tag: ESMA

AIFMD: Passport Extension Update

Guidelines on Cross-Selling

EBA: Report on Investment Firms and Prudential Requirements

Knowledge and Competence

EMIR: Mandatory Clearing

EMIR and Frontloading

AIFMD Passport and non-EU Jurisdictions

Remuneration Guidelines – UCITS V, AIFMD (and CRD IV)

INSIGHTS & EXPERTISE

NEWS & EVENTS

Webinar: KYC as a Service: How Firms Are Benefiting from Outsourcing Compliance

Webinar: How Technology Can Save the Day for Compliance Teams

Webinar: Rebuilding ICARA: Practical Steps for a More Effective Capital, Liquidity and Risk Assessment Process

Webinar: Compliance Resourcing: Building the Right Team for Regulatory Success

Webinar: KYC Remediation: Do It Right the First Time

Webinar: Outsourcing Compliance for Smaller Firms: A Strategic Advantage

Subscribe for Exclusive Regulatory News and Updates

Member of:

Accredited by:

Member of:

Accredited by:

Global Offices

Complyport (UK)

Complyport (UAE)

Complyport (EU)

Connect With Us