EU - Complyport UK Consultancy Service

The Coronavirus (COVID-19) Pandemic: A Summary of FCA Guidance & Regulatory Developments in the EU’s Investment Services and Capital Markets Sectors

The FCA has issued the following guidance to the financial services industry regarding the response that FCA expects firms to take in response to the Coronavirus (COVID-19) pandemic. The FCA […] [...]

Brexit: Draft UK EU Withdrawal Agreement

Of relevance to: All firms in the UK’s financial services sector Key date: 29 March 2019 The Draft Agreement on the withdrawal of the United Kingdom of Great Britain and […] [...]

MIFID II: One month in

Of relevance to: All Firms impacted by MiFID II The Markets in Financial Instruments Directive II (2014/65/EU) (“MiFID II”) and the Markets in Financial Instruments Regulation (600/2014) (“MiFIR”) repealed and […] [...]

Brexit and Article 50

By now we will all be aware of the decision of the High Court in Gina Miller & Deir Tozetti Dos Santos v The Secretary of State to the effect that […] [...]

AIFMD Passport: Non-EU Jurisdictions

Of relevance to: AIFMs and, non-EU fund managers As we know (see Regulatory Roundup 78) the AIFMD allows for the extension of the marketing passport to EU AIFMs of non-EU […] [...]

EuVECA & EuSEF: Update

Of relevance to: Managers of EuVECA/EuSEF funds; full-scope AIFMs; managers of funds which may qualify as EuVECA/EuSEF funds The concept of a European Venture Capital Fund (“EuVECA”) and a European […] [...]

EU-US Privacy Shield

Of Relevance to: Firms whose business model involves the transmission of personal data to the US. It may be recalled that in October 2015 the European Court of Justice declared […] [...]

Securities Financing Transactions Regulation: Disclosure Obligation

Of Relevance to: Firms concluding Securities Financing Transactions Securities Financing Transactions Regulation: Disclosure Obligation A reminder that, as advised in Regulatory Roundup 72, the ‘risks and consequences’ disclosure obligation arising […] [...]

Tag: EU

The Coronavirus (COVID-19) Pandemic: A Summary of FCA Guidance & Regulatory Developments in the EU’s Investment Services and Capital Markets Sectors

Brexit: Draft UK EU Withdrawal Agreement

MIFID II: One month in

Brexit and Article 50

AIFMD Passport: Non-EU Jurisdictions

EuVECA & EuSEF: Update

EU-US Privacy Shield

Securities Financing Transactions Regulation: Disclosure Obligation

Brexit and its Implications

The votes have been counted and ‘Brexit’ has won the day.

Brexit – What happens if it happens?

Brexit – Too close to call

INSIGHTS & EXPERTISE

NEWS & EVENTS

Webinar: EI in the Age of AI

Webinar: Navigating the IFPR Impact: Good and Poor Practices Observed

Webinar: Cutting Compliance Costs – The Case for Strategic Outsourcing

Women in Compliance: Navigating Challenges & Embracing Opportunities

Webinar: The FCA’s Greenwashing Regulations are Now in Effect – What Does this Mean?

Online Training Course: Your MLRO Training Day

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