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Systems and Controls Questionnaire FSA055

Although still a good two months or so away, an early reminder that a new data item (FSA055) will become due for completion on 31 December for non-ILAS BIPRU firms […] [...]

The Role of Auditors

As was mentioned in Regulatory Roundup 16, the FSA was proposing to consult on enhancements to auditor’s reporting on client assets. As you will know, even where a firm does […] [...]

GABRIEL Reporting

Following queries from firms, some clarification to reporting requirements has been made by the FSA. For FSA001 Balance sheet, changes relating to elements 7, 10 and 30A have been made. […] [...]

Large Exposure Regime Change

As mentioned in Regulatory Roundup 19, the Large Exposure regime in BIPRU 10.5 will change from 31 December 2010. The amended Rules can be seen in the recently published FSA […] [...]

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, […] [...]

Notification obligations

Firms will be aware of the publicity arising from the fine imposed by the FSA on Goldman Sachs International (GSI). The fine (£17.5m) is the second largest fine imposed in […] [...]

More transaction action

Since the Commerzbank AG fine imposed by the FSA in April (see Regulatory Roundup #13), things had been quiet on the (failure to) transaction report front. However behind the scenes […] [...]

Transaction reporting update

Following a series of FSA actions relating to transaction reporting failures, many firms will have revisited their own transaction reporting procedures to ensure that they satisfy regulatory requirements. Portfolio managers […] [...]

Changes to SUP 16

The FSA have proposed four small changes to data item FSA003, improving the data reported by firms to the FSA. The amendments are relevant to all firms subject to the […] [...]

Quarterly Consultation Paper

The FSA has published Quarterly Consultation Paper CP10/15 (‘QCP’) which contains proposed changes to various parts of the Handbook. It is not the best composed paper as not only does […] [...]

FSA Submissions – Important changes

The Regulatory Roundup Issue 10, 12 March 2010, reported that the FSA’s new reporting system – Online Notifications and Applications (‘ONA’) – had slipped a little behind on its release. […] [...]

Close Links

As mentioned in Regulatory Roundup #5, the amended rules governing close links reporting which came into effect on 1 June 2010. The main change is that close links notification now […] [...]

Transaction Reporting Problems

Following on the heels of the £4.2m fine imposed on three big name firms for transaction reporting failures (see Regulatory Roundup No 12) the FSA released details of a further […] [...]

Transaction Reporting

The FSA hit with a vengeance when it fined three big name firms a total of £4.2m for transaction reporting failures. It will be recalled that Barclays suffered a penalty […] [...]

ONA

The Regulatory Roundup of 16 October 2009 contained an article on the new FSA reporting system – Online Notifications and Applications – which would be used for the submission of […] [...]

ICAAP Submissions

The FSA has issued a paper setting out its observations on ICAAP submissions that have been submitted by Limited Licence firms. Areas commented on include: Lack of clarity in terms […] [...]

Hedge Funds & Systemic Risk – Information Collection

With systemic risk and hedge funds in mind, the International Organization of Securities Commissions has released details of a template for the global collection of hedge fund information which it […] [...]

Changes

The FSA has issued its first consultation paper of 2010 – CP10/1. It is proposing changes to SUP 16.12 (Integrated Regulatory Reporting) and to the Disclosure and Transparency Rules within […] [...]

Transaction Reporting & Execution

As you’ll know from SUP 17.2, provided certain conditions are met then portfolio managers are relieved from the responsibility of transaction reporting and instead rely on third parties e.g. the […] [...]

Getting Closer

This month the FSA published “Close links – feedback on CP07/21” (PS09/17) which contains the new draft rules governing close links reporting. It must qualify as one of the slower […] [...]

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