1 December -
The Financial Conduct Authority (FCA) published its 19th quarterly consultation paper (CP17/39). The proposed changes to the FCA Rules include changes to the FCA's Decision Procedure and Penalties manual,...more
1/5/2018
/ Alternative Investment Fund Managers Directive (AIFMD) ,
E-Signatures ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Markets ,
Insurance Industry ,
Key Information Document (KIDs) ,
MiFID II ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
UCITS ,
UK ,
UK Competition and Markets Authority (CMA)
3 October - The Prudential Regulator Authority (PRA) published a policy statement on strengthening accountability in banking and changes to senior managers regime (SMR) forms. The changes to the SMR forms will become live on...more
11/6/2017
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Broker-Dealer ,
European Council ,
European Securities and Markets Authority (ESMA) ,
EuSEF ,
EuVECA ,
Financial Conduct Authority (FCA) ,
IFRS ,
Legal Entity Identifiers ,
Mergers ,
MiFID II ,
MiFIR ,
Payment Services Directive ,
Proposed Regulation ,
Prudential Regulation Authority (PRA) ,
PSD2 ,
Senior Management Regime (SMR) ,
Treaty on the Functioning of the European Union (TFEU) ,
UK ,
UK Competition and Markets Authority (CMA) ,
UK Competition Appeal Tribunal (CAT)
2 August - The UK Competition and Markets Authority announced a consultation on proposed revisions to its published guidance on penalty setting in Competition Act 1998 cases....more
9/8/2017
/ Alternative Investment Fund Managers Directive (AIFMD) ,
EU ,
European Commission ,
European Economic Area (EEA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Guidance Update ,
Memorandum of Understanding ,
MiFID II ,
MiFIR ,
Ministry of Justice ,
National Private Placement Regimes (NPPR) ,
Payment Protection Insurance ,
Penalties ,
UK ,
UK Competition and Markets Authority (CMA)
2 May -
The FCA published its Policy Statement on the FCA's disclosure rules following application of PRIIPs Regulation (PS17/6). The Policy Statement sets out how the FCA's disclosure requirements will change to reflect...more
6/5/2017
/ Acquisitions ,
AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Alternative Investment Funds ,
Anti-Money Laundering ,
CRD IV Directive ,
EMIR ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Facebook ,
Financial Conduct Authority (FCA) ,
Merger Controls ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Remuneration ,
UK ,
WhatsApp
On 29 June 2017, changes to the UK’s Financial Conduct Authority’s rules and guidance on Annex IV reporting under the Alternative Investment Fund Managers Directive (AIFMD) will come into effect....more
Key developments in April 2017: 3 April -
The FCA published its Consultation Paper on persistent debt and earlier intervention remedies, “Reforming the availability of information in the UK equity IPO process”...more
5/1/2017
/ AIF ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Distributed Ledger Technology (DLT) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Key Information Document (KIDs) ,
MiFID II ,
MiFIR ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Payment Services Directive ,
Private Fund Limited Partnerships (PFLPs) ,
Prudential Regulation Authority (PRA) ,
RTS ,
UK ,
UK Brexit ,
Whistleblowers
Key developments in March 2017:
1 March -
The FCA published its Consultation Paper on "Reforming the availability of information in the UK equity IPO process" (CP17/5). The CP proposes a package of policy measures...more
3/31/2017
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Bank of England ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
FSMA ,
General Data Protection Regulation (GDPR) ,
HM Treasury ,
Initial Public Offering (IPO) ,
Investment Management ,
Key Information Document (KIDs) ,
RTS ,
Senior Managers ,
UK
On July 19, 2016, the European Securities and Markets Authority (ESMA) published its final advice (Advice) on extending the application of the marketing passport under the Alternative Investment Fund Managers Directive...more
The United Kingdom (UK) has voted to leave the European Union (EU). Although the vote will have long term implications, in the short term there will be no change to the current legal and regulatory status quo; the UK will...more
6/27/2016
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Antitrust Provisions ,
David Cameron ,
EU ,
EU Passport ,
Financial Services Industry ,
Insolvency ,
Member State ,
Mergers ,
MiFID ,
One-Stop Shop ,
Popular ,
Referendums ,
Resignation ,
UK ,
UK Brexit
The European Securities and Markets Agency (ESMA) today published its advice on extending the application of the marketing 'passport' under the Alternative Investment Fund Managers Directive (AIFMD) to non-European managers....more