Impact of CRD IV on Investment Firms
Changes will include a new prudential sourcebook IFPRU
European Long-Term Investment Funds
Further type of collective scheme proposed following EuVECA and EuSEF
FCA Supervision Approach
Increased use of thematic reviews a possibility
Transaction Reporting Problems
RBS becomes latest big name to receive a fine for transaction reporting failings
European Market Infrastructure Regulation (EMIR): Reporting Update
Start date for reporting interest rate and credit derivatives moved to 1 January 2014
AIFMD Follow-Up
FCA’s AIFMD Register contains just three firms, suggesting many firms are taking advantage of the 12 month transitional period