AIFMD: Marketing Reminder
As mentioned in Regulatory Roundup 55 the AIFMD transitional period ends 21 July 2014 and after that date Alternative Investment Fund Managers should either be authorised under the AIFMD or […] [...]
As mentioned in Regulatory Roundup 55 the AIFMD transitional period ends 21 July 2014 and after that date Alternative Investment Fund Managers should either be authorised under the AIFMD or […] [...]
Following the March Consultation Paper (see Regulatory Roundup 54) the FCA has published PS14/11 which confirms the final fees and levies payable for 2014/15. The annual funding requirement (AFR) remains […] [...]
It will be recalled that the FCA published a Policy Statement in May (PS14/7 – see Regulatory Roundup 55) on the use of dealing commission and which contained final revised […] [...]
Regulatory Roundup 56 advised that the Bank of England, HM Treasury and the FCA were proposing to undertake a joint review of wholesale markets. Following on from this the FCA […] [...]
Under Article 5(2) of EMIR ESMA is required to determine which classes of OTC derivatives should be subject to the clearing obligation and then draft appropriate Regulatory Technical Standards (RTS) […] [...]
The Regulatory Gateway for Financial Promotions is Here
Navigating KYC Challenges in 2024: Insights from the Q&A Session
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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