Investment Bank Regulatory

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  • Senior managers and certification regime for banks Restricted access

    Tracker

    Last Reviewed: 18 April 2018 / Submitted: 16 December 2014

    A practical guide for HR to the new UK senior managers regime.

  • Senior Managers and Certification Regime Extension

    Tracker

    Last Reviewed: 18 April 2018 / Submitted: 23 March 2016

    A practical guide to preparing for the proposed extension of the senior managers and certification regime to all FMSA authorised persons.

  • FCA Business Plan 2018/2019

    Article

    Submitted: 17 April 2018

    ​A quick overview of the new FCA business plan for 2018/19.

  • Key SMCR takeaways from the FCA and PRA Business Plans

    Article

    Submitted: 13 April 2018

    ​A summary of the key takeaways from the FCA and PRA Business Plans for 2018/2019 in relation to the extension of the Senior Managers & Certification Regime (SMCR).

  • The Securitisation Regulation: key points for US investment managers

    Article

    Submitted: 09 April 2018

    ​The EU’s Securitisation Regulation becomes effective from 01 January 2019. The Regulation replaces securitisation provisions in, among other things, the Alternative Investment Fund Managers Directive (AIFMD). Importantly, some US investment managers will now find themselves subject to the Regulation’s due diligence and risk retention requirements.

  • The Securitisation Regulation: key points for EU AIFMs

    Article

    Submitted: 09 April 2018

    The EU’s Securitisation Regulation becomes effective from 01 January 2019. The Regulation replaces securitisation provisions in, among other things, the Alternative Investment Fund Managers Directive (AIFMD). Importantly, certain AIFMs, which have, to date, been outside the scope of the securitisation rules under AIFMD, may find themselves subject to the Regulation’s due diligence and risk retention requirements.

  • The Global LEI System and Other Unique Identifiers

    Article

    Last Reviewed: 31 March 2018 / Submitted: 10 February 2014

    An overview of the Global LEI System considering some of its practical implications for financial institutions and, in particular, its relationship to the reporting obligations under EMIR including Unique Transaction Identifiers and Unique Product Identifiers.

  • Cayman Islands AEOI update: March 2018

    Article

    Submitted: 29 March 2018

    The Cayman Islands Department for International Tax Cooperation has re-opened its FATCA and CRS reporting portal and announced changes to its certification and notification forms, including introducing a lower threshold of 10% for the “Controlling Person” definition.

  • Brexit event Frankfurt: How to get ready? Restricted access

    Seminar

    Submitted: 23 March 2018

    It has been a year since the United Kingdom notified the European Council of its intention to leave the EU and we have witnessed a large number of market participants have reacted to the situation in different ways since then. This presentation takes the opportunity to discuss individual solutions and ensuing challenges. The solutions in question are both inbound (UK to Germany) and outbound (Germany to UK) solutions.

  • OECD Model Mandatory Disclosure Rules for CRS avoidance arrangements

    Article

    Submitted: 22 March 2018

    The OECD has issued model rules to require disclosure by promotors and service providers of schemes to avoid the need for disclosures under the CRS.

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