OPTIMA INSIGHTS

Welcome to the Optima Insights section, where you can download our newsletters, regulatory updates and media releases. Please click a link below to view your requested content.

Optima Partners Alerts

Cover note re EMIR Refit:
OPTIMA ALERT: MAY 2019

Shareholder Rights Directive:
OPTIMA ALERT: APRIL 2019

Asset Management Market Study:
OPTIMA ALERT: JULY 2019

Cross-border Distribution of Collective Investment Undertakings:
OPTIMA ALERT: JULY 2019

FCA Authorisations Approach:
OPTIMA ALERT: AUGUST 2019

Alert EMIR Clearing Reminder:
OPTIMA ALERT: SEPTEMBER 2019

Funds Investing in Illiquid Assets:
OPTIMA ALERT: OCTOBER 2019

PAD and Transaction Reporting:
OPTIMA ALERT: OCTOBER 2019

Data Protection – Fee Collection:
OPTIMA ALERT: DECEMBER 2019

Securities Financing Transactions Regulation
OPTIMA ALERT: DECEMBER 2019

Short Selling: Changes to means of Notification:
OPTIMA ALERT: JANUARY 2020

Securities Financing Transaction Regulation: ESMA Guidelines:
OPTIMA ALERT: JANUARY 2020

Firm Details Reporting To FCA:
OPTIMA ALERT: JANUARY 2020

Overview Of Investment Firm Regulation And Directive:
OPTIMA ALERT: FEBRUARY 2020

Securities Financing Transactions Regulation:
OPTIMA ALERT: FEBRUARY 2020

Sustainability Regulation
OPTIMA ALERT: MARCH 2020

Short Selling Notifications: Temporary Bans, Submitting Notifications And Other Considerations
OPTIMA ALERT: MARCH 2020

Sustainability Regulation: Update
OPTIMA ALERT: APRIL 2020

Adaptation To The FCA’s Regulatory Approach In Response To The COVID-19 Crisis
OPTIMA ALERT: APRIL 2020

Weekly Reporting Obligation Imposed By CSSF
OPTIMA ALERT: APRIL 2020

EMIR Reporting: Changes
OPTIMA ALERT: MAY 2020

Scam Due Diligence Email
OPTIMA ALERT: MAY 2020

Liquidity Stress Testing In UCITS And AIFs
OPTIMA ALERT: JUNE 2020

EU Commission High Risk Third Country List
OPTIMA ALERT: JULY 2020

Extension of the Senior Managers & Certification Regime implementation period
OPTIMA ALERT: JULY 2020

Shareholder Rights Directive II (SRD II) – Final Phase
OPTIMA ALERT: JULY 2020

Post-Trade Transparency
OPTIMA ALERT: AUGUST 2020

Annual Financial Crime Report
OPTIMA ALERT: AUGUST 2020

Securities Financing Transactions Regulation (SFTR) – reporting reminder
OPTIMA ALERT: SEPTEMBER 2020

Securitisation Templates
OPTIMA ALERT: SEPTEMBER 2020

SEC to recommence registering UK firms as Registered Investment Advisers
OPTIMA ALERT: SEPTEMBER 2020

10% Depreciation Rule
OPTIMA ALERT: OCTOBER 2020

Senior Managers And Certification Regime (SMCR) – REP008
OPTIMA ALERT: OCTOBER 2020
Daylight saving time will end this Sunday
OPTIMA ALERT: OCTOBER 2020

Brexit Countdown
OPTIMA ALERT: OCTOBER 2020

Investment Firm’s Prudential Regime Delayed
OPTIMA ALERT: NOVEMBER 2020

Shareholder Notification: New Reporting System
OPTIMA ALERT: DECEMBER 2020

Senior Managers & Certification Regime (SMCR) – end of extension period
OPTIMA ALERT: MARCH 2021

EMIR Reporting: Changes
OPTIMA ALERT: MARCH 2021

EU Short Selling Regulation: Threshold Change
OPTIMA ALERT: MARCH 2021

Annual Financial Crime Report
OPTIMA ALERT: APRIL 2021

Bloomberg Retention Periods
Optima Alert: MAY 2021