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FCA consults on AIFMD, CRD IV and reporting requirements

FCA consults on AIFMD, CRD IV and reporting requirements

The Financial Conduct Authority (FCA) has published a consultation paper, CP13/9.  This is a quarterly consultation paper that proposes miscellaneous amendments to the FCA Handbook.

Amongst other things CP13/9 proposes to:

  • clarify rules on reporting suspicious transactions (chapter 4 and appendix 4);
  • make various minor amendments to reporting mechanisms including controllers and close links reports (chapter 7 and appendix 7);
  • implement the changes made by HM Treasury to reflect and make firms aware of the FCA’s powers set out in further domestic legislation regarding the European Market Infrastructure Regulation (EMIR) (chapter 11 and appendix 11);
  • provide guidance on the Alternative Investment Fund Managers (AIFM) Remuneration Code arising from the issuance of the ESMA guidelines on sound remuneration policies under the AIFM Directive (chapter 14 and appendix 14);
  • make minor consequential amendments to various sections of the FCA Handbook arising from the implementation of the AIFM Directive (chapter 15 and appendix 15); and
  • make consequential changes to the Handbook as a result of the implementation of CRD IV for investment firms (chapter 16 and appendix 16).

Comments on chapters 7 and 16 are requested by 6 October 2013.  Comments on all other changes are requested by 6 November 2013.

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