3 February -
The European Banking Authority (“EBA”) published a report on the benchmarking of diversity practices in credit institutions and investment firms under the CRD IV Directive (2013/36/EC)....more
3/9/2020
/ Banking Sector ,
Consultation Papers ,
Corporate Governance ,
CRD IV Directive ,
Dear CEO Letter ,
EIOPA ,
European Banking Authority (EBA) ,
European Central Bank ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Libor ,
MiFID II ,
MiFIR ,
Policy Statement ,
Prudential Regulation Authority (PRA)
1 August -
The Financial Conduct Authority ("FCA") published an insight article on artificial intelligence ("AI") in the boardroom. The article considers various AI-related issues in the boardroom....more
1 June -
HM Treasury published a consultation paper (dated May 2019) on the regulation of pre-paid funeral plans. HM Treasury intends to bring all funeral plan providers within the remit of the FCA....more
7/3/2019
/ Derivatives ,
EIOPA ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Financial Stability Board ,
HM Treasury ,
IOSCO ,
MiFID II ,
MiFIR
3 April -
The Financial Conduct Authority ("FCA") published a press release, warning that it intends to take action against general insurance firms that fail to properly implement the rules aimed at increasing...more
5/2/2018
/ AIMA ,
Antitrust Provisions ,
Artificial Intelligence ,
ECON ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
European Commission ,
European Supervisory Authorities (ESAs) ,
Financial Conduct Authority (FCA) ,
Financial Instruments ,
Financial Regulatory Reform ,
Financial Services Industry ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Solvency II ,
UK ,
WTO
1 March -
The Financial Conduct Authority ("FCA") published general insurance value measures data in relation to 36 insurers (including both UK and EEA firms) for the year ending 31 August 2017. The data is aimed at...more
4/5/2018
/ Capital Markets ,
European Commission ,
European Economic Area (EEA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Services Industry ,
FinTech ,
Free Trade Agreements ,
Insurance Industry ,
ISDA ,
Libor ,
Mergers ,
MiFID II ,
Payment Services Directive ,
UK ,
UK Brexit ,
UK Competition and Markets Authority (CMA)
1 February -
The European Commission ("EC") launched the EU Blockchain Observatory and Forum in order to highlight key developments of blockchain technology, promote and reinforce European engagement with multiple...more
3/9/2018
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Blockchain ,
Collective Investment Schemes ,
Cryptocurrency ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
EuSEF ,
EuVECA ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Gambling ,
General Data Protection Regulation (GDPR) ,
IOSCO ,
MiFID II ,
UK Brexit ,
UK Competition and Markets Authority (CMA)
1 January -
The Packaged Retail and Insurance-based Investment Products ("PRIIPs") Regulation (1286/2014) (the "PRIIPs Regulation") came into force on 1 January 2018. This includes an obligation on PRIIP manufacturers to...more
2/1/2018
/ Anti-Money Laundering ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Insurance Industry ,
MiFID II ,
MLD4 ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
UK ,
UK Brexit ,
UK Payment Systems Regulator ,
Withdrawal
2 August - The UK Competition and Markets Authority announced a consultation on proposed revisions to its published guidance on penalty setting in Competition Act 1998 cases....more
9/8/2017
/ Alternative Investment Fund Managers Directive (AIFMD) ,
EU ,
European Commission ,
European Economic Area (EEA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Guidance Update ,
Memorandum of Understanding ,
MiFID II ,
MiFIR ,
Ministry of Justice ,
National Private Placement Regimes (NPPR) ,
Payment Protection Insurance ,
Penalties ,
UK ,
UK Competition and Markets Authority (CMA)
2 May -
The FCA published its Policy Statement on the FCA's disclosure rules following application of PRIIPs Regulation (PS17/6). The Policy Statement sets out how the FCA's disclosure requirements will change to reflect...more
6/5/2017
/ Acquisitions ,
AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Alternative Investment Funds ,
Anti-Money Laundering ,
CRD IV Directive ,
EMIR ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Facebook ,
Financial Conduct Authority (FCA) ,
Merger Controls ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Remuneration ,
UK ,
WhatsApp
The FCA and PRA announced changes to enforcement process with the aim of strengthening the transparency and effectiveness of enforcement decision-making processes. Some of the changes have already come into force, the rest...more
2/28/2017
/ Article 29 Working Party (WP29) ,
Banking Sector ,
Banks ,
Capital Markets ,
Corporate Issuers ,
Data Protection ,
Data Protection Officers (DPOs) ,
EIOPA ,
Enforcement Actions ,
EU ,
EU Transparency Directive ,
European Banking Authority (EBA) ,
European Central Bank ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
European Supervisory Authorities (ESAs) ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Markets ,
FSMA ,
General Data Protection Regulation (GDPR) ,
Insurance Industry ,
International Data Transfers ,
Investment ,
Investment Firms ,
Investors ,
Listing Rules ,
Money Laundering ,
NYDFS ,
ORSA ,
Payment Systems ,
Penalties ,
Proposed Legislation ,
Prudential Regulation Authority (PRA) ,
PSD2 ,
Regulatory Oversight ,
Reinsurance ,
RTS ,
Solvency II ,
Terrorism Funding ,
UK