Year: 2016

4 min read

RegTech in numbers

PlanetCompliance

How do RegTechs compare in numbers of staff, funding, location and core activities? Recently, we published the PlanetCompliance RegTech Directory,...

5 min read

Former portfolio manager sentenced to 12 months imprisonment for insider dealing

PlanetCompliance

In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment...

1 min read

ESMA updates on how to handle investment recommendations under MAR

PlanetCompliance

The European Securities and Markets Authority (ESMA) has issued today a Questions & Answers (Q&A) document regarding the implementation of...

1 min read

ESMA publishes MiFIR Q&A regarding data reporting

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published today its Questions and Answers (Q&As) document regarding the implementation of...

2 min read

EBA recommends a harmonised EU-wide framework for covered bonds

PlanetCompliance

The European Banking Authority (EBA) published today a Report including recommendations on how to harmonise covered bond framework in the...

1 min read

European Supervisory Authorities consult on Big Data

PlanetCompliance

The Joint Committee of the European Supervisory Authorities (ESAs) today launched a public consultation about the potential benefits and risks...

3 min read

Australia embrasses sandbox approach with world-first licensing exemption for FinTechs

PlanetCompliance

ASIC has today released class waivers to allow eligible financial technology (fintech) businesses to test certain specified services without holding...

2 min read

EBA publishes final draft technical standards on cooperation and exchange of information for passporting under PSD2

PlanetCompliance

The European Banking Authority (EBA) published today its final draft Regulatory Technical Standards (RTS) specifying the framework for cooperation and...

4 min read

Big Data and FinTech – An Alpine Perspective

PlanetCompliance

The Dolomites are sometimes considered the most beautiful mountain range in the Alps and that’s where you find Bolzano in...

3 min read

In a nutshell – The US Supreme Court on Insider Trading

PlanetCompliance

What’s the news? The US Supreme Court yesterday decided in the case of Salman v. United States in favour of...

2 min read

EBA consults on Guidelines on major incidents reporting under PSD2

PlanetCompliance

The European Banking Authority (EBA) launched today a consultation on its draft Guidelines developed in close cooperation with the European...

3 min read

Why Blockchain isn’t the Silver Bullet for everything (yet)

PlanetCompliance

There is no question that Distributed Ledger or Blockchain Technolgy is one of the hot topics in FinTech right now....

2 min read

EBA provides overview on the proportionate application of remuneration requirements

PlanetCompliance

The European Banking Authority (EBA) published today additional information on the application of the proportionality principle to the remuneration provisions...

3 min read

ESMA clarifies UCITS investment limits

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published an updated questions and answers document on the application of the...

1 min read

ESMA publishes MiFID II Q&As on transparency and market structure topics

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published two Questions and Answers (Q&A) documents regarding implementation issues relating to market...