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Submission of Annual Accounts

Under SUP 16.12 firms are required to send various data item returns to the FCA, most of which are submitted electronically. Annual report and accounts are an exception in that […] [...]

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 […] [...]

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 […] [...]

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’ – […] [...]

Close Links and Controllers Reports

The need for a firm to send to the FCA annual close links and controllers reports is set out in SUP 16.4 and SUP 16.5 respectively. Those responsible for the […] [...]

EMIR: TR Reporting

ESMA has just registered the first four trade repositories, two of which are in the UK: UnaVista Ltd and DTCC Derivatives Repository Ltd. In practical terms this means that the […] [...]

AIFMD Reporting Update

31 December 2013 will be the first period end date for both full-scope UK AIFMs and small AIFMs to commence reporting under the AIFMD – see SUP 16.8 (clients of […] [...]

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 […] [...]

Transaction Reporting Problems

Transaction reporting (SUP 17) continues to be a problem area for firms. RBS is the latest big name to be fined (£5.6m after a discount for early settlement, otherwise it […] [...]

Non-GABRIEL Paper (NGP) Reports

The FCA has recently circulated some pointers regarding the submission of NGP reports (see Regulatory Roundup 34 for details and a link to FAQs), including a reminder that it is […] [...]

Transactions Actions

Things have been quiet of late in respect of transaction reporting failings by firms since City Index (see Regulatory Roundup 25). However the silence was broken by the publication of […] [...]

FSA Business Plan 2012/13

The FSA Business Plan, which closely followed the publication of the FSA Risk Outlook (see separate article in this Regulatory Roundup), advises that the FSA’s supervision function moved to a […] [...]

Transaction Reporting

As mentioned in Regulatory Roundup 36, the FSA released a (consultative) update of the Transaction Reporting User Pack (TRUP). The Regulator has now issued the finalised guidance (TRUP 3). The […] [...]

Prudent Valuation Reporting

A consultation paper (CP11/30: “Proposed Regulatory Prudent Valuation Return”) has been released by the FSA which introduces a new prudential return. However, the good news for the majority of firms […] [...]

Pillar 3 Disclosure Enhancements

With reference to Regulatory Roundup 36 concerning the final rules to implement CRD 3, a reminder that the Pillar 3 disclosure obligations in BIPRU 11 are to be enhanced with […] [...]

TRS Update

As will be known (see Regulatory Roundup 33) the FSA’s Transaction Reporting System (TRS) was to be sold to the LSE. The latter already operates its own equivalent system (UnaVista). […] [...]

TRUP 3

As advised in Regulatory Roundup 28, the FSA is in the process of reviewing the Transaction Reporting User Pack (TRUP), which is a useful source of reference for those firms […] [...]

Transaction Reporting Guidance

Regulatory Roundup 34 included an article on the FSA’s consultative guidance on (a) the approach to be adopted when reporting transactions on Turquoise Derivatives and (b) the reporting of derivative […] [...]

Transaction Reporting: Zen

A reminder for firms that transaction report that the Zen ‘hard go-live’ date is 13 November at the latest. The FSA’s surveillance and monitoring system, Sabre, is being replaced by […] [...]

CMAR & CF10a

Whilst on the topic of client money a reminder that from 1 October all CASS medium and large firms have had to have an individual approved for the CASS oversight […] [...]

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