Investment Services Circulars

FEBRUARY 07, 2011
Circular Letter Regarding the Regulatory Disclosure by Investment Services licence holders required under Standard Licence Conditions (‘SLCs’) 7.49 & 7.50 of Part B of the Investments Services Rules for Investment Service Providers (‘the Rules’).
JANUARY 19, 2011
Updated CRD II and III Circular
OCTOBER 15, 2010
Publication of Revised Appendix 1 and Appendix 2 to Part B of the Investment Services Rules for Investment Services Providers
JUNE 17, 2010
CEBS Consultation Paper on the Amendments to the Guidelines on Common Reporting
JUNE 11, 2010
Circular Letter Regarding the Risk Management and Internal Capital Adequacy Assessment Process (“RMICAAP”)
MAY 28, 2010
Circular addressed to the Investment Services Industry Regarding the Transposition of the Articles of the Capital Requirements Directive relating to Supervision on a Consolidated Basis
APRIL 06, 2010
Circular addressed to Non-UCITS Fund Managers Regarding the Proposed Changes to the Applicable Financial Resources Requirement
FEBRUARY 05, 2010
Circular addressed to the Financial Services Industry regarding Master-Feeder Structures for Professional Investor Funds targeting Qualifying or Extraordinary Investors
JANUARY 07, 2010
Annual Financial Return
NOVEMBER 24, 2009
Circular addressed to the Financial Services Industry regarding Complex / Non-Complex Instruments for the Purposes of the Markets in Financial Instruments Directive (“MiFID”)