9 - 2017 - Planet Compliance

An Earthquake in the Swiss Alps – Swiss Regulator investigates several ICOs

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Switzerland confirms that it is investigating a number of ICOs and is willing to take enforcement action. What started with the SEC’s statement on The DAO, is now becoming more and more reality, though it has been at the crypto community’s doorstep right from the start: regulatory action regarding Initial Coin Offerings. The Swiss financial …

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The 10 biggest FinTechs in Europe – Who are they, what do they do and how much are they worth?

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When you talk about a Unicorn in Finance, you talk about a start-up that is valued at $1billion and more. The term was coined by venture capital investor Aileen Lee and when she created the term referring to something rare back in 2013, only 39 companies fit the bill. Today this number has risen to …

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EBA publishes guidance to further harmonise EU banks internal governance

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The European Banking Authority (EBA) has published today its revised Guidelines on Internal Governance. These Guidelines aim at further harmonising institutions’ internal governance arrangements, processes and mechanisms across the EU, in line with the new requirements in this area introduced in the Capital Requirements Directive (CRD IV) and also taking into account the proportionality principle. …

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European regulators publish guidelines on suitability assessment for senior management

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The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) have published their joint Guidelines to assess the suitability of members of management bodies and key function holders. The authorities issued these guidelines in accordance with MiFID II, in particular with the requirements introduced by Directive 2013/36/EU and Directive 2014/65/EU, ESMA and EBA …

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GFSC warns against ICOs, considers additional regulation for token sales

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The financial regulator of Gibraltar, the Gibraltar Financial Services Commission (GFSC) has published a warning in respect of token sales. Similar to other authorities around the globe, Gibraltar, too, warns investor to be cautious when investing in Initial Coin Offerings (ICOs). The GFSC is introducing a new regulatory framework for DLT, which will become operational …

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European watchdogs provide guidance to prevent terrorist financing and money laundering in electronic fund transfers

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The Joint Committee of the three European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs) published today guidelines to prevent the abuse of funds transfers for terrorist financing and money laundering purposes. These guidelines are part of the ESAs’ wider work on fostering a consistent approach to Anti-Money Laundering and Countering the Financing of Terrorism …

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ECB publishes for consultation draft guides to bank licensing and fintech bank licensing

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The European Central Bank (ECB) today launched a public consultation on two draft guides which explain the process of how entities can become banks and obtain a banking licence. The first document, the draft guide to assessments of licence applications, sets out the general process and the requirements for the assessment of such applications. The …

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A global overview and outlook on ICO regulation

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The Chinese ban on cryptocurrency exchanges has caused a landslide in the community and for the question of regulation of ICOs. Already the SEC’s decision to practically consider tokens as financial securities in certain circumstance had kicked off a number of regulatory activities that has swept around the globe. PlanetCompliance provides an overview of the …

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FCA advises on PSD2 implementation

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Today, the FCA published the policy statement PS17/19 regarding the Implementation of the revised Payment Services Directive (PSD2). The revised Payment Services Directive (PSD2) is required to be implemented in the UK by 13 January 2018. The Treasury has transposed PSD2 into UK legislation in the Payment Services Regulations 2017 (PSRs 2017). We will continue …

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Football’s Secret Trade or What happens when you don't regulate a billion dollar industry

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When the summer transfer window closed on 31st August across most European football leagues last week, the amount of money spent had reached another record: clubs in the top 5 leagues in Europe had completed almost 1,700 deals worth close to £4bn/€4.4bn. When so much money changes hands, question crop up about its origins. Alex …

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September 2017

An Earthquake in the Swiss Alps – Swiss Regulator investigates several ICOs

The 10 biggest FinTechs in Europe – Who are they, what do they do and how much are they worth?

EBA publishes guidance to further harmonise EU banks internal governance

European regulators publish guidelines on suitability assessment for senior management

GFSC warns against ICOs, considers additional regulation for token sales

European watchdogs provide guidance to prevent terrorist financing and money laundering in electronic fund transfers

ECB publishes for consultation draft guides to bank licensing and fintech bank licensing

A global overview and outlook on ICO regulation

FCA advises on PSD2 implementation

Football’s Secret Trade or What happens when you don't regulate a billion dollar industry

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