Optima Alerts
Updates on the most recent financial regulatory changes.
RESOURCESAlerts
05 Mar 2024 - FCA warns firms over anti-money laundering failings
21-23 Feb 2024 - FATF Plenary Meeting Outcomes
02 Feb 2024 - The European Council and Parliament reach an agreement on stricter AML rules
02 Feb 2024 - Money Laundering and Terrorist Financing Controls In High-Risk Third Countries
12 Jan 2024 - The Money Laundering and Terrorist Financing (Amendment) Regulations 2023 – Domestic PEPs
12 Jan 2024 - EMIR reporting changes
04 Dec 2023 - Change to UK Reporting Threshold for Net Short Positions
29 Nov 2023 - FATF Plenary Outcome
23 Oct 2023 - Optima Risk Alert - 2024 Exam Priorities
23 Oct 2023 - FCA publishes report highlighting the effectiveness of firms' sanctions systems and controls
06 Oct 2023 - Diversity and Inclusion
19 Sep 2023 - FCA sets expectations ahead of incoming crypto marketing rules
13 Sep 2023 - Share Trading Obligation and Derivatives Trading Obligation
07 Sep 2023 - Appointed Representatives
01 Sep 2023 - FCA sets out expectations for UK cryptoasset businesses complying with the Travel Rule
14 Aug 2023 - FCA Market Watch 74 and Supervisory Flexibility on UK MiFIR Transaction Reporting
17 Mar 2023 - FCA Launches Consumer Duty Firm Survey
14 Mar 2023 - FCA Multi Firm Review
7 Mar 2023 - FCA Levies - Economic Crime Levy
Jan 2023 - Optima Partners SEC Marketing FAQ
7 Sep 2022 Market Abuse Systems and Controls
1 Sep 2022 Strengthening of Financial Promotion Rules
26 Aug 2022 Consumer Duty
18 Aug 2022 Annual FINRA Entitlement Certification
9 Jun 2022 US Deputy Attorney General Statement on Heightened
Sanctions Enforcement Focus
27 May 2022 FCA Fees: Form A Application
12 May 2022 Financial Crime Controls
01 April 2022 Changes to PRIPPs Regime
23 March 2022 MIFIDPRU TP 7 Notification Update
14 March 2022 End of Temporary Transitional Powers (TTP)
EU Short Selling Regulation – EU Minimum Threshold Change to
0.1%
09 March 2022 SFC Measures to Deal with Disruptions Caused by
Financial Distress and Insufficient Responsible Officers
25 Feb 2022 UK, EU and US Sanctions Responses to the Situation
in Ukraine
14 Jan 2022 Climate related Disclosures Final Rules
11 Jan 2022 SFC Operational Resilience in view of Covid Fifth
Wave
11 Jan 2022 Senior Managers and Certification Regime (SMCR) –
Directory Persons
6 Jan 2022 Alert Changes to LIBOR
6 Jan 2022 SFC Introduces Next Generation Digital Online Portal
3 December 2021 Changes to UK MIFIDs conduct and organisational
requirements
10 November 2021 Investment Firms Prudential Regime (IFPR)
Update
05 November 2021 IFPR Update
28 October 2021 Daylight Saving Time Will End This Sunday
12 October 2021 Temporary Marketing Permissions Regime (TMPR)
Ending
4 October 2021 SFC Operational Resilience and Remote Working
20 September 2021 SFC AML Consultation Conclusion Summary
Changes
25 August 2021 SFC Circular on Disclosure of Climate-related
Risks by Fund Managers
30 July 2021 Investment Firms Prudential Regime (IFPR)
29 July 2021 Sustainable Finance Disclosures Regulation Alert
30 June 2021 Personal Data Flows: Adequacy Decision
23 June 2021 Climate-related Disclosures
18 June 2021 SFC Consultation Conclusions Proposed Enhancements
to Competency Framework
6 May 2021 Bloomberg Retention Periods
16 April 2021 Annual Financial Crime Report
16 Mar 2021 EU Short Selling Regulation - Threshold Change
5 March 2021 EMIR Reporting - Changes
1 Mar 2021 Senior Managers & Certification Regime. End of
extension period
4 Dec 2020 Shareholder Notification - New Reporting System
27 Nov 2020 Brexit Countdown - SFTR Update
18 Nov 2020 Investment Firm’s Prudential Regime Delayed
28 Oct 2020 Brexit Countdown
23 Oct 2020 Daylight saving time will end this Sunday
9 Oct 2020 10% Depreciation Rule
18 Sept 2020 SEC to recommence registering UK firms as
Registered Investment Advisers
12 Oct 2020 Senior Managers and Certification Regime (SMCR)
REP008
11 Sep 2020 Securitisation Templates
1 Sept 2020 Securities Financing Transactions Regulation (SFTR)
reporting reminder
26 Aug 2020 Annual Financial Crime Report
17 Aug 2020 Post Trade Transparency
16 July 2020 Shareholder Rights Directive II (SRD II) Final
Phase
2 July 2020 Extension of the Senior Managers Certification
Regime implementation period
1 July 2020 EU Commission High Risk Third Country List
24 June 2020 Senior Managers and Certification Regime (SM&CR)
The Directory
5 June 2020 Liquidity Stress Testing in UCITS and AIFs
26 May 2020 Scam Due Diligence Email
12 May 2020 EMIR Reporting Changes
24 April 2020 Sustainability Regulation Update
17 April 2020 Weekly reporting obligation imposed by CSSF
2 April 2020 Adaptation to the FCAs regulatory approach in
response to the COVID19 crisis
19 March 2020 Short Selling Notifications Temporary Bans
Submitting Notifications and other
16 March 2020 Client and Market Notifications
5 March 2020 Sustainability Regulation
7 Feb 2020 Securities Financing Transactions Regulation Non EU
AIFs out of reporting scope
21 Jan 2020 Overview of Investment Firm Regulation and
Directive
20 Jan 2020 Firm Details Reporting to FCA
15 Jan 2020 Securities Financing Transactions Regulation ESMA
Guidelines
3 Jan 2020 Short Selling Changes to means of Notification
6 Dec 2019 Securities Financing Transactions Regulation
5 Dec 2019 Data Protection Fee Collection
22 Oct 2019 FCA Concerns Personal Account Dealing and
Transaction Reporting
3 Oct 2019 Funds Investing in Inherently Illiquid Assets (FIIA)
26 Sep 2019 EMIR Clearing Obligation and MiFIR Derivatives
Trading Obligation Final Reminder
25 April 2019 Senior Managers and Certification Regime (SM&CR)
19 Aug 2019 FCA Authorisations Approach
17 July 2019 Cross boarder Distribution of Collective
Investment Undertakings
10 July 2019 Asset Management Market Study Final Rules
10 June 2019 EMIR REFIT A Reminder
28 May 2019 EMIR REFIT
Optima Updates
Subscribe to our newsletter and receive regular updates
on the regulatory landscape and our services.
Thank you, you are now subscribed to Optima updates
SUBSCRIBE