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News And Insights

  • Regulatory Update

SEC Office of Compliance Inspections and Examinations Examination Priorities for 2016

On 11 January 2016 the SEC Office of Compliance Inspections and Examinations (OCIE) announced its
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  • Regulatory Update

CRD 4: Remuneration and Proportionality

The EBA has published its final Guidelines on sound remuneration policies under CRD 4
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  • Regulatory Update

Senior Managers Regime

The FCA publishes CP16/1 “Consequential changes to the Senior Managers Regime” amending the concept of
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  • Regulatory Update

Knowledge and Competence

ESMA publishes its final report on the guidelines specifying criteria for the assessment of knowledge
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  • Regulatory Update

FAST Act Amendment to Disclosure Requirements

Amendment of the consumer privacy provisions revises the requirement for Financial Institutions to provide an
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  • Regulatory Update

AIFMD: Annex IV Reporting

Key reporting date for AIFMs approaches
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