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Key Regulatory Deadlines

27 November 2013

As the year end is approaching, we would like to take this opportunity to remind you of some key regulatory deadlines on the horizon:

Item  Timeline
All counterparties to financial transactions to seek Legal Entity Identifiers from the ISESeptember 2013 (onwards)
Fitness and Probity Standards – annual certifications and on-going due diligence1 1 December 2013
Corporate Governance Code – annual reviews 31 December 2013
Application of Capital Requirements Regulation and Capital Requirements Directive IV1 January 2014
Annual audited financials; sub-fund profile; financial derivative instrument return; statutory auditor confirmation regulatory report21 January 2014
Deadline for implementation of SEPA payments in credit institutions1 February 2014
EMIR reporting start date for counterparties' reporting to trade repositories12 February 2014
ESMA Guidelines on ETFs and UCITS – close of transition period18 February 2014
KIID annual update to be filed with the Central Bank of Ireland3 (no later than)19 February 2014
Deadline for submission of applications for authorisation as an AIFM or internally managed AIF, pre 22 July 20144 21 February 2014
Submission by UCITS of a Fund's Annual Survey of Liabilities to the Central Bank of IrelandQ1 2014

1The fitness and probity standard came into full effect in December 2012 and requires on-going monitoring of relevant controlled persons including an annual certification and maintenance of a register

2See Regulatory Reporting requirements of Irish authorised investment funds – Vol. 1.2 – April 2013

3No later than 35 business days post year end 2013. See regulatory Reporting requirements of Irish authorised investment funds – Vol. 1.2 – April 2013

4Click here to view the publication notice


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