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FCA Finalises the PRIIPS Regulations

What is changing The FCA is  changing the PRIIPS regulation after analysing the feedback received to the consultation CP21/23. Changes are: Who this affects This…
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FCA to Discuss the Use of ‘side Pockets’ for Retail Funds With Exposure to Sanctioned and Suspended Russian Assets

The Financial Conduct Authority (FCA) is engaging stakeholders to explore using ‘side pockets’ for UK-authorised retail funds facing difficulties in managing Russian and Belarussian…
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CSSF Publishes Update on the Obligations of the Quality of Transaction Reports Received Under Article 26 of MIFIR

The CSSF recently shared insights on its efforts to improve the quality of transaction reporting under Article 26 of MiFIR, focusing on accurate, complete…
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ESMA Consults on the Update of Its MIFID II Suitability Guidelines

The European Securities and Markets Authority (ESMA) is currently reviewing the MiFID II suitability guidelines to incorporate sustainability considerations into investment advice and portfolio…
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FCA Publishes Update for Firms on PRIIPS RTS Article 18 and Related Rules

The Financial Conduct Authority (FCA) has issued an update regarding the Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation, specifically focusing on Article 18…
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ESMA Launches Common Supervisory Action on Valuation of Valuation of UCITS and Open-ended AIFS

In January 2022, the European Securities and Markets Authority (ESMA) initiated a Common Supervisory Action (CSA) in collaboration with National Competent Authorities (NCAs) to…
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FCA Releases Statement on Supervision of Commodity Derivatives Position Limits

In December 2021, the Financial Conduct Authority (FCA) extended its supervisory approach concerning commodity derivatives position limits. This decision followed a review of the…
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CSSF Publishes Reminder of the Deadline of 1 January 2022 for Certain Updates of UCITS and AIFS Pre-contractual Documents

In December 2021, the Commission de Surveillance du Secteur Financier (CSSF) issued a communication addressing regulatory requirements and introducing a fast-track procedure for UCITS…
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FCA Publishes the Final Rules for the Investment Firms Prudential Regime

The Financial Conduct Authority (FCA) has finalised the rules for the Investment Firms Prudential Regime (IFPR), set to commence on January 1, 2022. This…
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