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Investment Research

Of relevance to: Managers of UK UCITS Key date: Has sufficient notice been given to investors for when MiFID II comes into force on 3 January 2018? MiFID II requires […] [...]

Principals who have Appointed Representatives

Of relevance to: All Principals who have Appointed Representatives (ARs) or Introducer Appointed Representatives (IARs), regardless of sector Having issued an alert in August 2016 which highlighted some of the […] [...]

Variation of Permission / Authorisation

Of relevance to: Any firms applying for FCA authorisation or Variation of Permission Key date: Applications prior to 31 December 2017 Firms impacted by MiFID II should by now have […] [...]

Asset Management Authorisation Hub

Of relevance to: All new asset management firms applying for FCA authorisation The FCA have launched the Asset Management Authorisation Hub to support new asset management firms when they apply […] [...]

Asset Management Market Study: Final Report

Of Relevance to: Asset management sector; retail intermediaries; providers of retail investment products In November 2015 the FCA published its terms of reference (“TOR”) in relation to the intention to […] [...]

CFDs: FCA Statement

Of relevance to: Firms offering CFD products Last December the FCA published Consultation Paper CP16/40 “Enhancing conduct of business rules for firms providing contract for difference products to retail clients” […] [...]

Benchmarks Regulation

Of Relevance to: Benchmark administrators, firms contributing input data to benchmarks and users of benchmarks Both MiFID II and the Packaged Retail and Insurance-based Investments Products Regulation (“PRIIPs”) means that […] [...]

Notification of Major Interest in Shares

Of Relevance to: Firms subject to the Disclosure Guidance and Transparency Rules sourcebook (DTR) Under DTR 5, a person is required to notify the issuer (and, under DTR 5.9, the […] [...]

PRIIPs: Final FCA Rules

Of Relevance to: Most firms providing investments or investment services to retail investors, including AIFMs, UCITS Management Companies and the Authorised Fund Managers of NURS As advised in Regulatory Roundup […] [...]

EMIR Review

Of Relevance to: Firms subject to European Markets Infrastructure Regulation The FCA has issued an EMIR update alert to inform us that the European Commission has published proposals to amend […] [...]

FCA Review: Suitability

Of Relevance to: Firms providing personal recommendations to retail customers The FCA seems happy with the outcome of a review of suitability it undertook last year which captured 1,142 individual […] [...]

FCA Fees and Levies 2017/18

FCA Fees and Levies 2017/18 Of Relevance to: All FCA regulated firms The FCA has published Consultation Paper CP17/12 “FCA Regulated fees and levies 2017/18”. The annual funding requirement (“AFR”) […] [...]

FCA Business Plan 2017/18

FCA Business Plan 2017/18 Of Relevance to: All firms The FCA has published its Business Plan for 2017/18 – which also includes the ‘Risk Outlook’ (page 16) which analyses the […] [...]

Private Fund Limited Partnerships

Private Fund Limited Partnerships Of Relevance to: Managers of private equity and venture capital funds; managers of unauthorised collective investment schemes A reminder that ‘The Legislative Reform (Private Fund Limited […] [...]

Money Laundering: New Watchdog for Professional Bodies

Of relevance to: All firms for general interest HM Treasury has announced the creation of a new money laundering watchdog that will tackle potential weaknesses in the money laundering supervisory […] [...]

Money Laundering – Politically Exposed Persons

Of Relevance to: All regulated firms Draft UK Regulations transposing 4MLD into national law were published on 15 March 2017. The concept of Politically Exposed Persons (“PEPs”) and the need […] [...]

Loan-based Crowdfunding

Of Relevance to: Firms that operate loan-based crowdfunding platforms Those firms operating loan-based crowdfunding platforms – and specifically ones which facilitate loans to lending businesses – should have received, and […] [...]

Best Execution

Of Relevance to: Investment Managers The FCA has published a statement on its website to the effect that investment managers are (still) failing to ensure effective oversight of best execution. […] [...]

Advising on Investments – Change in Definition

Of relevance to: All regulated firms One of the recommendations in the joint FCA and HM Treasury Financial Advice Market Review (“FAMR”) was to consider amending the definition of regulated […] [...]

Initial Public Offerings: Reforming the Process

Of Relevance to: IPO stakeholders including corporate finance advisers, investment banks, buy-side stakeholders and independent research analysts In April 2016 the FCA published a Discussion Paper (DP16/3) on concerns it […] [...]

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