FCA Consulting on Senior Managers and Certification Regime (“SMCR”)
FCA plans for transitioning firms and individuals to the new regime.
General Data Protection Regulation (“GDPR”) – Deadline Approaching
Four months until implementation.
LSE requires all those with securities admitted to trading on AIM to have a Legal Entity Identifier Update
New requirements for trading on AIM.
CFD Sector: FCA ‘Dear CEO’ Letter and ESMA Press Release and Call for Evidence
Firms to review their arrangements as result of failings.
MIFID II: One month in
Views post implementation
Securitisation Regulation – impact on AIFs and UCITS
Of relevance to: All firms involved in securitisation of assets such as loans Key date: Applicable from 1 January 2019 The Securitisation Regulation (EU) 2017/2402 (the “SR”) entered into force […]
Loan-based crowdfunding platforms may no longer require permission of ‘accepting deposits’
The FSMA By Way of Business Order (SI 2001/1177) is to be amended, affecting P2P lenders and others that operate a loan-based crowdfunding platform which facilitates loans to lending businesses.