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Tag: International

Complyport UK Consultancy Service > International
  • 26 July 201110 February 2017
  • International

AIFMD & ESMA

The European Securities and Markets Authority (ESMA – previously CESR) has published a 430+ page consultation on implementing measures for the AIFMD. Issues addressed include ‘General provisions’ (e.g. organisational requirements; […] [...]

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  • 26 July 201110 February 2017
  • International

AIFMD Comes Into Force

The Alternative Investment Fund Managers Directive (AIFMD) – see past Regulatory Roundups e.g. No. 15 – has taken a long time coming (the original proposal was back in April 2009) […] [...]

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  • 06 May 201113 February 2017
  • Financial Crime

Money Laundering & Overseas Jurisdictions

FATF has updated its list of jurisdictions which have strategic AML/CTF deficiencies (see Regulatory Roundup 23 for details of previous position) as well as updating its Public Statement on Iran […] [...]

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  • 06 May 201113 February 2017
  • International

Commentary on SEC Letter Dated 8 April

A letter from the US Securities and Exchanges Commission (‘SEC’) to the North American Securities Administrators Association, sent on 8 April, provides an indication that the SEC will look to […] [...]

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  • 02 March 201115 February 2017
  • Financial Crime

Middle East Events

Following the recent developments in the Middle East the FSA has issued a short statement on the need for firms to be alert to the possible impact the events may […] [...]

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  • 01 October 201015 March 2017
  • Latest News

FSA Formalise Co-operation with FINRA

The FSA have signed a Memorandum of Understanding with FINRA, the largest independent regulator for all securities firms doing business in the US. The MOU is now effective and provides […] [...]

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  • 01 October 201014 March 2017
  • International

EU Framework for Short Selling & CDS

An article on short selling in Regulatory Roundup 10 advised that a CESR report recommended the introduction of a pan-European short selling disclosure regime. The European Commission has now published […] [...]

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  • 01 October 201014 March 2017
  • European Regulation

OTC Clearing

The European Commission has issued a proposal on the regulation of OTC derivatives, central counterparties and trade repositories. The proposal will apply to all OTC derivatives, whether based on commodities, […] [...]

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  • 09 August 201016 November 2017
  • International

Dodd-Frank revisited

Following on from Regulatory Roundup #17 we have had requests for further details on the regulatory developments within the US. As you will know, the ‘Dodd Bill’ was enacted on […] [...]

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  • 26 July 201011 May 2017
  • Latest News

Client categorisation

Following an approach from the European Commission, CESR is consulting on aspects relating to client categorisation as currently set out in MiFID (which in turn is reflected in COBS 3, […] [...]

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  • 26 July 201011 May 2017
  • International

Who, where and what ESAs

As you will be aware from Regulatory Roundup #15, the European Commission has proposed the establishment of a European System of Financial Supervisors (ESFS) which will be composed of national […] [...]

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  • 26 July 201011 May 2017
  • International

Non-US managers face dual registration

The US President has this week signed the H.R. 4173 ‘Restoring American Financial Stability Act of 2010’ (which can be found via the link). Contained within ‘Title IV–Regulation of Advisers […] [...]

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  • 02 July 201027 July 2017
  • International

FSA’s AIFM directive presentation

In early June the FSA held a presentation on the AIFM directive. The link will take you to the slides used for the FSA’s AIFM directive presentation. Slides 14 & […] [...]

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  • 02 July 201027 July 2017
  • International

AIFM directive delay

Rapporteur Jean-Paul Gauzès has now announced that the Parliamentary vote on the AIFM directive will be delayed from July until September. The UK is said to be pushing for second […] [...]

Read More
  • 02 June 201015 June 2017
  • International

European Supervision – All Change

Whilst we are on things European, a reminder that the European Commission has adopted legislation that will implement a new supervisory framework for the EU, which will include the disappearance […] [...]

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  • 02 June 201015 June 2017
  • International

EU Legislative Process

There has, of course, been an abundance of articles on the AIFM Directive recently. The quality of reporting is variable, with some headlines suggesting that it’s all over (see the […] [...]

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  • 01 April 201028 June 2017
  • International

US and Investment Advisors

There have been further developments in respect of the proposed Private Fund Investment Advisers Registration Act 2010 (see Regulatory Roundup 18 January and previous). Senator Christopher Dodd’s financial reform proposals […] [...]

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  • 26 February 201028 June 2017
  • Financial Crime

FATF

It may be recalled that the Financial Action Task Force (FATF) used to maintain a list of ‘Non-Cooperative Countries and Territories’ – a total of 23 countries/territories appeared on the […] [...]

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  • 18 January 201029 June 2017
  • International

US Developments re Investment Advisers

The Regulatory Roundup of 19 November contained details of the Private Fund Investment Advisers Registration Act 2009, which in its original form could have had implications for UK fund managers […] [...]

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  • 19 November 200926 July 2017
  • International

US Regulatory Developments

As you will be aware, AIMA has recently reiterated its support for the proposed registration of hedge fund managers in the US in the interests of financial stability. The move […] [...]

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INSIGHTS & EXPERTISE

Proactive monitoring and assessment of international Regulatory News and Industry Developments.
  • The Regulatory Gateway for Financial Promotions is Here

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The Regulatory Gateway for Financial Promotions is Here

  • Navigating KYC Challenges in 2024: Insights from the Q&A Session

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Navigating KYC Challenges in 2024: Insights from the Q&A Session

  • Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024

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Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024

  • Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024

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Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024

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