FCA Issues New Guidance on Cyber Resilience and Notification of Cyber Attacks -
The FCA published a new page on its website providing informal guidance on cyber resilience on 18 May 2017.
Following the recent global...more
7/7/2017
/ Amended Rules ,
Asset Management ,
Commodities ,
Cyber Attacks ,
Cybersecurity ,
Disclosure Requirements ,
EU ,
Final Rules ,
Financial Conduct Authority (FCA) ,
Investment Funds ,
MiFID II ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Reporting Requirements ,
UK
Europe is the largest market for fund products after the United States. However, despite the advances of the European single market, there remains a confusing combination of pan-European and country specific rules governing...more
7/1/2017
/ AIF ,
AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Capital Markets ,
Capital Raising ,
Disclosure Requirements ,
EU ,
European Economic Area (EEA) ,
Foreign Investment ,
Investors ,
National Private Placement Regimes (NPPR) ,
Passporting ,
Private Placements ,
Reporting Requirements ,
Retail Investors ,
Reverse Solicitation ,
UCITS ,
UK Brexit
UK Supreme Court Rules UK Parliament Must Approve Brexit Notice to EU -
Under Article 50 of the EU Treaty, the process for the UK to leave the EU is commenced by service of a notice on the European Council, which starts...more
3/13/2017
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Annex IV ,
Article 50 Treaty of the EU ,
Asset Management ,
EU ,
Financial Conduct Authority (FCA) ,
FSMA ,
HM Treasury ,
Investment Funds ,
MiFID II ,
Private Placements ,
Reporting Requirements ,
UK ,
UK Brexit
FCA Publishes Final Rules Removing Certain Ineffective Disclosure Requirements -
The FCA published a policy statement on 11 October 2016, removing certain ineffective disclosure requirements from the FCA Handbook...more
12/3/2016
/ AMF ,
Asset Management ,
Disclosure Requirements ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Investment Funds ,
MiFID II ,
Passporting ,
Reporting Requirements ,
UCITS ,
UK ,
UK Brexit
Enforcement – FCA Fines £13.2 Million for Transaction Reporting Failures -
The FCA fined Merrill Lynch International (MLI) £13.2 million on 22 April 2015 for incorrectly reporting 35,034,810 transactions and failing to...more
6/6/2015
/ Asset Management ,
Custody Rule ,
Deutsche Bank ,
Enforcement Actions ,
EU ,
FATCA ,
Financial Conduct Authority (FCA) ,
Fines ,
HMRC ,
Investment Funds ,
Libor ,
Merrill Lynch ,
MiFID II ,
Reporting Requirements ,
Transaction Reporting ,
UK
On 26 January 2015, the AMF clarified both content and modalities of the reporting obligations by financial investment advisors associations, submitted on an annual basis. ...more