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IMIA December Updates

by | Dec 19, 2023

Outsourcing Return


The Outsourcing return for in-scope firms (medium-low and above) is due on the 20th December.


Dear CEO on Costs and Charges


The Central Bank has issued a Dear CEO on Costs and Charges for MiFID Firms that serve Retail Clients. If there is sufficient interest, we can arrange a member discussion on this letter in the new year.


ASP Response


The Central Bank has published its Feedback Statement on the Administrative Sanctions Procedure (CP-154). In addition, there are Draft Guidelines and A Guide to Transitional Arrangements.


Central Bank Innovation Consultation


The Central Bank has launched an Innovation Engagement Consultation earlier this month. 


Pershing on Regulatory Divergence


Many thanks to Linda Gibson from Pershing for presenting on Regulatory Divergence earlier this week. 

New IMIA Members for 2024


We are currently accepting applications for new Member Firms for 2024.


Individual Membership is open to anyone that is not currently employed in a MiFID Firm. This includes INEDs or persons that may have stepped away from the industry but would like to keep up to date. Information on applying can be found on the website.

 Management Company Working Group

The Central Bank has launched a themed inspection on Delegation. Firms have been sent a questionnaire which must be completed by 9th February 2024.

The Central Bank also published a Dear Chair on Asset Valuation last week.

Thank you to our Sponsors

A special word of thanks to our sponsors for the year: Matheson, Grant Thornton, Hogan Lovells, Dillon Eustace, Pershing, Eisner Amper and Walkers. They have provided some fantastic speakers and guidance to the Committee and myself over the past few months.

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