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Clarification of methodology provided by the EBA in draft Delegated Regulation
Draft Guidelines published by the EBA
Clarification of obligations under IPRU(INV) 11
FCA proposes amendment to Handbook
A reminder that the reporting period is based upon the calendar year
ESMA updated its AIFMD Reporting Guidelines earlier this month which AIFMs may find useful.
The FCA has undertaken a review on how industry dealt with the new obligations under EMIR
The AIFMD transitional period ends 21 July 2014 after which AIFMs will require either FCA approval or will have to provide notification to the FCA regarding marketing
ESMA has published two consultation papers on clearing obligations in regard to IRS's and CDS's
Firms subject to EMIR should be aware that additional (daily) reporting to a Trade Repository (TR) comes into force on 11 August.
A reminder that the submission deadline for AIFMD authorisation is 22 July 2014
MiFID II and the Regulation (MiFIR) texts agreed by both the European Parliament and the European Council
Q&A on application of AIFMD updated
FCA statement on risk mitigation techniques relating to OTC derivative trades not cleared by a CCP
The FCA's CP14/4 proposes to introduce guidance on SYSC 19C
Both the European Parliament and the European Council appear to have reached wording agreement UCITS V
CP14/4 contains other proposals of interest to AIFMs
HM Treasury intends to amend AIFM Regulations 2013 which will impact all AIFMs making use of the transitional provisions
ESMA publishes final report on derivative transactions which will have a 'direct, substantial and foreseeable' effect within the Union
A reminder that firms will need to consider applying for a LEI
CSSF — Mandatory Notification for UK firms in the context of Brexit
The Luxembourg financial regulator, the CSSF, published a press release on 15 July 2019 informing UK firms that...
Complyport & Fieldfisher’s SM&CR Webinar recording
In our continual effort to help assist financial services firms with their on-going regulatory requirements, Complyport recently hosted...
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