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FCA able to receive reports from 1 January
First four Trade Repositories registered; reporting obligations begin 12 February 2014
Start date for reporting interest rate and credit derivatives moved to 1 January 2014
FCA's AIFMD Register contains just three firms, suggesting many firms are taking advantage of the 12 month transitional period
FCA view differs from European Commission over passporting of MiFID type activities under AIFMD
FCA signs supervisory cooperation agreements with 34 non-EEA countries
FSA releases second consultation paper on AIFMD
FSA release first part of their two part consultation on AIFMD. CP12/32 sets out FSA's current thinking but leaves many areas unanswered
Following ESMA's final report the FSA sets out likely timetable for introduction of measures
European Parliament adopts amended draft leading to possible two tier approach to banning of commission payments
New European Commission consultation follows recent alleged manipulation of LIBOR
Proposals driven from a Conflicts of Interest perspective in relation to the provision of services to a firm's clients
Broadly similar to Remuneration Code
Topics include risk measurement
EC publishes draft proposal
Greater protection for retail clients proposed
Aims to raise standards
ESMA paper contains guidelines for firms
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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