FCA

Blog

Five Innovative Strategies for Resilient MiFID II Reporting

Steve Barnes, CTO In our previous blog, we took time to pause, reflect and consider some lessons learned from the compliance processes for MiFID II transaction reporting. In this blog, we take a step further and look at five ways … More


Blog

MiFID II Reporting – a year of light and shade

Claire Savage, Chief Operating Officer, AQMetrics Following years of planning and implementation for MiFIR,  it is time to pause and consider the lessons learned from the compliance process and the ongoing considerations in this evolving regulatory environment. The reality of … More


MiFID II, MiFID II:Articles

MiFIDII ARMs and Systemic Risk: Time for the Penny to Drop

By Breige Tinnelly, Head of UK Sales, AQMetrics The UK’s Financial Conduct Authority (FCA) is urging firms to make their final decisions about their choice of Approved Reporting Mechanism (ARM) providers soon and with very good reason. The new regulatory reporting … More


AIFMD, Blog

Additional AIF Data Request by FCA

In order for a number of firms to satisfy the requirements of the current, updated AIF schedule additional supplementary information was requested by the FCA with a deadline of the 5 September for submission. On September 9, 2014 the FCA … More


Blog, COREP

48 Key Validations that will trigger GABRIEL COREP report failures

As of the 2nd June the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have confirmed a set of validations within the COREP taxonomy that are correct and which they would like to re-activate. The FCA and PRA … More


Buzz

AQMetrics recognised as a Regulatory Reporting solution provider by the FCA (Financial Conduct Authority)

The FCA have included AQMetrics in their list of recognised independent software vendors of regulatory reporting solutions that allow financial institutions to submit returns electronically to the FCA’s GABRIEL system.


AIFMD, Blog

From October 2014 GABRIEL will be used for AIFMD Annex IV reporting to the FCA

Until October 2014 the FCA will accept AIFMD Annex IV reporting data in xml, xls or xlsx formats. After October 2014, the FCA will only accept reporting via XML and online via GABRIEL.


Blog, MAD II

The FCA plans a new review of market abuse controls in asset managers

The Financial Conduct Authority (FCA) has announced its thematic supervisory plans for 2014 / 15 as a central part of its annual Business Plan published on the 31st March 2014. The supervisory plan contains much that will be of relevance … More


AIFMD, Blog

FCA modifies the “funds under management” rule

The Financial Conduct Authority (FCA) has issued guidance on the application procedure for modifying the “funds under management” rule.  The guidance on the modification by consent is a temporary measure taken by the FCA. This modification will allow alternative investment fund … More