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Recent Posts

European funds given 'no deal' Brexit ISA and CTF warning

By Corporate Regulations, Brexit

EU-registered funds held in Individual Savings Accounts (ISAs) and Child Trust Funds (CTFs) face the prospect of disqualification from these vehicles, unless they sign-up to the FCA’s Temporary Permissions Regime (TPR) by 30th October.

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European MiFID Template v3 - A work in progress

By Mikkel Bates Regulations

The European MiFID Template (EMT) has been used to transfer target market and costs and charges data from fund groups to distributors since January 2018.  Having gone through a few iterations during development, the original version has not changed since it came into use over 18 months ago.

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Preparing for Assessment of Value reports

By Mikkel Bates Regulations

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ESMA Securities and Markets Stakeholder Group (SMSG) responds to PRIIPs consultation paper

By Mikkel Bates Regulations

ESMA’s SMSG – its own panel of advisers, made up of industry participants, consumers and academics – has published its advice to ESMA on the proposals in the PRIIPs Consultation Paper, JC 2018 60, and it doesn’t pull any punches.

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ECON calls for two-year extension to UCITS exemption from PRIIPs KIDs

By Mikkel Bates Regulations

In the middle of the European Supervisory Authorities’ (ESAs) consultation on PRIIPs KIDs, there was cross-party agreement in the European Parliament’s Economic and Monetary Affairs Committee (ECON) that the target date for UCITS to publish PRIIPs KIDs should be extended by two years, from December 2019 to 2021.

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PRIIPs KIDs annual review

By Mikkel Bates Regulations

One of the few positive things that can be said about PRIIPs KIDs is that, unlike UCITS KIIDs, they don’t all need to be updated during the same short window at the start of every year.  So PRIIPs providers can stagger their workload throughout the year, carrying out their annual reviews after their funds’ accounting dates, possibly.

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Confusion over the demise of UCITS KIIDs and the future of PRIIPs KIDs

By Mikkel Bates Regulations

The European Supervisory Authorities (the ESAs, made up of ESMA, EBA and EIOPA), have published a series of letters between them and the European Commission (EC), over the proposed ending of the exemption for UCITS KIIDs at the end of 2019.

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DC Workplace Pension Template (DCPT) Q&A with FE regulatory consultant, Mikkel Bates

By James Hoey Regulations

We spoke to Mikkel to get all the necessary information on the DCPT - from what it entails to how fund groups are going about populating the template

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AIC calls for KIDs to be suspended

By Mikkel Bates Regulations

On 11 September, the Association of Investment Companies (AIC) published a report detailing the extent of misleading output, particularly in the risk and reward sections, of PRIIPs KIDs.

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The clamour for changes to PRIIPs KIDs is too loud to ignore

By Mikkel Bates Regulations

Nobody denies the value of a short document with key information for investors before they commit to a fund or product.  But criticism of the calculations used in PRIIPs KIDs has been pretty constant since even before they hit the streets in January and has hopefully reached a level that can’t be ignored by the European Commission or the European Supervisory Authorities (ESAs).

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