2015

ESMA publishes Final Report on MiFID II guidelines for the assessment of knowledge and competence

The European Securities and Markets Authority (ESMA) has published today the Final Report on guidelines for the assessment of knowledge and competence. These guidelines are intended to enhance investor protection by increasing the knowledge and competence of natural persons giving investment advice or providing information about financial instruments, investment services or ancillary services to clients …

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ESMA see continued high levels of risk in financial markets

The European Securities and Markets Authority (ESMA) has issued today its Risk Dashboard for the European securities markets covering the third quarter of 2015. Overall, the report found that risk levels remained high compared to the last quarter — including elevated risks for investors, infrastructures and services, and the financial system at large. Market risks …

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IOSCO publishes results of the third annual Risk Outlook Survey

The Research Department of the International Organization of Securities Commissions (IOSCO) today published a Staff Working Paper entitled Risk Outlook Survey: Detailed methodology and results 2015, which provides a detailed analysis of responses to its annual Risk Outlook Survey. The views expressed in this Staff Working Paper are solely those of the IOSCO Research Department …

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ESMA publishes updated CRA Q&A

The European Securities and Markets Authority (ESMA) has published an updated questions and answers on the application of the Credit Rating Agencies Regulation. The revised Q&A clarifies the definition of unsolicited credit ratings, specifically whether a credit rating issued upon the request of a person different from the rated entity/issuer and a related third party …

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EBA defines harmonised prudential requirements for Central Securities Depositories (CSDs)

The European Banking Authority (EBA) published today its draft Regulatory Technical Standards (RTS) on prudential requirements for Central Securities Depositories (CSDs). These RTS will define a prudential framework for CSDs and harmonise calculations for their capital requirements which currently vary across Member States. These RTS have been developed within the framework of the Central Securities …

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Crowdfunding Country Report: UK

The Financial Conduct Authority (FCA) is the responsible regulator in the UK for loan-based crowdfunding platforms as well as investment-based crowdfunding platforms. It has set out new rules in March 2014 for these activities in its Policy Statement PS14/4 “The FCA’s regulatory approach to crowdfunding over the internet, and the promotion of non-readily realisable securities …

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ESMA publishes updated AIFMD Q&A

The European Securities and Markets Authority (ESMA) has published an updated questions and answers on the application of the Alternative Investment Fund Managers Directive (AIFMD). The Q&A include a new questions and answers on the depositary liability regime. The statement and the updated Q&A can be found here.

EBA issues final Guidelines on institutions exposures to shadow banking entities and recommends approach to limiting risks

The European Banking Authority (EBA) published today its final Guidelines regarding limits on institutions’ exposures to ‘shadow banking entities’ that carry out bank-like activities outside a regulated framework. In particular, these Guidelines introduce an approach that will allow EU institutions to set internal limits for their exposures to ‘shadow banking entities’, hence addressing in a …

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The Financial Action Task Force leads renewed global effort to counter terrorist financing

In the light of recent terrorist atrocities the Financial Action Task Force (FATF) today concluded three days of meetings, focussed on combatting the financing of ISIL, their affiliates, and other terrorist groups. On the first day of meetings, the FATF and the Egmont Group brought together operational experts from financial intelligence units, law enforcement, security …

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