UCITS - Complyport UK Consultancy Service

Are you ready for the reporting obligations under SFTR?

In 2016, as a response to the many risks posed by shadow banking, the EU introduced the Securities Financing Transaction Regulation (“SFTR”), a set of new requirements aimed at improving […] [...]

Money Market Funds Regulations 2018

The Money Market Funds Regulations 2018 (the “UK MMF Regulations”) are made in relation to EU Regulation 2017/1131 on money market funds (“MMF Regulation”) which will apply in the UK […] [...]

Proposed changes to the AIFM and UCITS Directives

Of relevance to: All UCITS Management Companies, AIFMs and those managing AIFs Key date: Adoption planned by May 2019 The European Commission (“EC”) has published a proposed directive and a […] [...]

FCA CP18/4 The European Money Market Funds Regulation

Of relevance to: All firms managing and/or marketing, advising on and/or distributing money market funds Key date: Comments to FCA by 23 March 2018 The EU Money Market Funds (“MMF”) […] [...]

Brexit: EC notices issued stating potential consequences relating to UCITS, MiFID and AIFMD

Of relevance to: All firms involved in Asset Management and Markets in Financial Instruments Key date: 30 March 2019 The UK will become a ‘third country’ (being a country that […] [...]

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 […] [...]

SFTR – Transparency Requirements for UCITS and AIFs

SFTR – Transparency Requirements for UCITS and AIFs Of Relevance to: UCITS Management Companies and AIFMs Although the principal requirement under the Securities Financing Transactions Regulation (2015/2365) (“SFTR”) is the […] [...]

UCITS and AIFs: Transparency Requirements

Of relevance to: UCITS management companies and AIFMs UCITS and AIFs: Transparency Requirements A reminder to UCITS management companies and AIFMs that certain transparency obligations arising under the Securities Financing […] [...]

Investment Firms: New Prudential Regime Discussion Paper

Of relevance to: MiFID investment firms, UCITS management companies and AIFMs that conduct permissible MiFID activities, particularly those subject to CRD IV In December 2015 a joint ESMA/EBA report was […] [...]

ESMA Remuneration Guidelines: UCITS and AIFMD

Of relevance to: UCITS management companies and AIFMs UCITS V introduced the concept of remuneration policies and practices for management companies – see Regulatory Roundup 75 for details of ESMA’s […] [...]

PRIIPs: Are you ready?

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

EMIR: Further Clearing Requirements

Of Relevance to: Those entities subject to EMIR EMIR: Further Clearing Requirements Article 4 of EMIR (648/2012) imposes a clearing obligation on all OTC derivative contracts meeting the conditions therein, […] [...]

Brexit and its Implications

Brexit and its Implications The votes have been counted and ‘Brexit’ has won the day. The UK electorate has voted 52% to 48% to leave the European Union (EU). The […] [...]

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

The votes have been counted and ‘Brexit’ has won the day. Whilst the Government considers what exactly that means for the UK as a whole, and what needs to be […] [...]

UCITS V and Securities Financing Transactions Regulation: Changes to the Handbook

Of relevance to: UCITS management companies, AIFMs The FCA has published Consultation Paper CP16/14 – “UCITS V Level 2 Regulation, SFTR and consequential changes to the Handbook”. In basic terms […] [...]

Fund Management Firms: Thematic Review

Of Relevance to: Fund Management Firms; Financial Advisers; Platform Providers Fund Management Firms: Thematic Review The FCA has carried out a thematic review on UK fund management firms and […] [...]

Remuneration Guidelines: UCITS V and AIFMD

Of Relevance to: UCITS management companies; AIFMs Remuneration Guidelines: UCITS V and AIFMD UCITS V introduces the need for UCITS management companies to establish and apply remuneration policies and practices […] [...]

Securities Financing Transactions Regulation: ESMA Discussion Paper

Of Relevance to: Firms concluding Securities Financing Transactions Securities Financing Transactions Regulation: ESMA Discussion Paper As advised in Regulatory Roundup 72, reporting and transparency obligations will arise in respect of […] [...]

UCITS V

Of Relevance To UCITS Management Companies; AIFMs of NURS; depositaries and custodians of UCITS schemes and AIFs. UCITS V The FCA has released Policy Statement PS16/2 “Implementation of the UCITS […] [...]

Tag: UCITS

Are you ready for the reporting obligations under SFTR?

Money Market Funds Regulations 2018

Proposed changes to the AIFM and UCITS Directives

FCA CP18/4 The European Money Market Funds Regulation

Brexit: EC notices issued stating potential consequences relating to UCITS, MiFID and AIFMD

Investment Research

SFTR – Transparency Requirements for UCITS and AIFs

UCITS and AIFs: Transparency Requirements

Investment Firms: New Prudential Regime Discussion Paper

ESMA Remuneration Guidelines: UCITS and AIFMD

PRIIPs: Are you ready?

EMIR: Further Clearing Requirements

Brexit and its Implications

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

UCITS V and Securities Financing Transactions Regulation: Changes to the Handbook

Fund Management Firms: Thematic Review

Remuneration Guidelines: UCITS V and AIFMD

Securities Financing Transactions Regulation: ESMA Discussion Paper

UCITS V

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