Recovery and Resolution
FCA publishes Resolution and Recovery final rules
Changes to Companies Act – Corporate Directors and Controllers
A reminder that companies which fall within the requirement of the Small Business, Enterprise and Employment Bill need to keep an up-to-date register(‘PSC Register’) of people with significant control over the company.
CASS changes
Second phase of changes to the CASS regime come into effect
Transaction Reporting
FCA updates the Transaction Reporting User Pack (TRUP)
EMIR Backloading
Two year time frame for EMIR Reporting
Market Abuse Asset Management Firms
FCA publishes findings on controlling market abuse risk in asset management firms
Use of Dealing Commission
FCA publishes Feedback Statement
SEC Annual Updating Reminder
Statement to be submitted within 90 days of end of financial year