Financial Promotions – Social Media
ESMA publishes review on the supervision and enforcement of MiFID requirements relating to best execution
FATCA Reminder
First returns must be submitted to HMRC by 31 May 20
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.
Transaction Reporting
FCA updates the Transaction Reporting User Pack (TRUP)
SEC Annual Updating Reminder
Statement to be submitted within 90 days of end of financial year
Restrictions on Retail Distribution
FCA to consult on making restrictions on distribution of contingent convertible instruments permanent
Submission of Annual Accounts (FIN-A)
New rules come in to force on December 31st
Corporate Governance
The FPC has updated the UK Corporate Governance Code.
COBS and CoCos
COBS 22 came into force on 1st October regarding restrictions on distribution of contingent convertible instruments
FCA: Enforcement and Supervision
The FCA publishes its ‘Enforcement-focussed’ June Regulation roundup.