1 - 2016 - Planet Compliance

ESMA updates CRR standard on main indices and recognised exchanges

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The European Securities and Markets Authority (ESMA) has published its Implementing Regulatory Standard (ITS) on main indices and recognised exchanges under the Capital Requirements Regulation (CRR). In order to introduce updates to the ITS, ESMA has issued today an opinion detailing the proposed changes which it has sent for endorsement to the European Commission. The …

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FCA publishes Handbook Notice 29

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The FCA today published its FCA Handbook Notice 29, which introduces the Handbook and other material made by the Financial Conduct Authority (FCA) Board under its legislative powers on 28 January 2016. It also contains information about other publications relating to the Handbook and, if appropriate, lists minor corrections made to previous instruments made by the …

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ESMA consults on Market Soundings and Delayed Information under MAR

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The European Securities and Markets Authority (ESMA) has opened today a public consultation on draft guidelines clarifying the implementation of the Market Abuse Regulation (MAR). MAR strengthens the existing market abuse framework by extending its scope to new markets, platforms and trading behaviours. It contains prohibitions for insider dealing and market manipulation, and provisions to …

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ESAs submit joint letter to Commission on Cross-Selling of Financial Products

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The Chairpersons of the three European Supervisory Authorities (ESAs) – EBA, EIOPA and ESMA – sent a joint letter on cross-selling of financial products to Jonathan Hill, the European Commissioner for Financial Stability, Financial Services and Capital Markets Union. In this letter the ESAs raise their concerns about inconsistencies in the existing EU legislation that …

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FCA clarifies overall responsibility of legal function under Senior Managers regime

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The FCA has published a statement to clarify its supervisors intentions with regard to the overall responsibility for the legal function under the Senior Managers Regime. The statement describes the FCAs plans to consult on this area; it also makes clear that firms that have sought to make decisions in good faith about whether or not approval is needed, …

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ESMA cooperates with Mexico and South Africa on CCPS

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The European Securities and Markets Authority (ESMA) has established two Memoranda of Understanding (MoUs) under the European Markets Infrastructure Regulation (EMIR) with the Mexican Comisión Nacional Bancaria y de Valores (CNBV) and the South African Financial Servcies Board (FSB) respectively. The MoUs establish cooperation arrangements, including the exchange of information, regarding Central Counterparties (CCPs) …

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ESMA publishes slides from hearing on validation and review of CRA's methodologies

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The European Securities and Markets Authority (ESMA) held its open hearing today on the issues set out in its Discussion Paper on the Validation and Review of Credit Rating Agencies’ methodologies (the DP) and has published the slides from the hearing which sum up the key themes and the DP questions. The consultation to …

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FCA publishes regulation round-up January 2016

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The FCA has published its monthly e-mail to all regulated firms with an update on the latest news that affect the sector. The paper can be found here. This month’s hot topics include: Packaged Retail and Insurance-based Investment Products (PRIIPs) – The Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation is a major piece of …

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Emerging market regulators aim to reinforce commitment to strengthe n resilience while ensuring fair and orderly markets

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IOSCO, the International Organization of Securities Commissions, published a report today that highlights the efforts of emerging capital market regulators to further work on strengthening systemic resilience while remaining alert to market risks. Global emerging capital market regulators had met this week in Bali, Indonesia, at the IOSCO Growth and Emerging Markets (GEM) Committee annual meeting hosted by the Indonesian Financial Services Authority. …

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UNODC and EU launch initiative against human trafficking

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The European Union (EU) and UNODC have launched the Global Action to Prevent and Address Trafficking in Persons and the Smuggling of Migrants. A four-year joint initiative between the EU and UNODC, the programme will be implemented in partnership with the International Organization for Migration (IOM) and the United Nations Children’s Fund (UNICEF) through to …

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Month: January 2016

ESMA updates CRR standard on main indices and recognised exchanges

FCA publishes Handbook Notice 29

ESMA consults on Market Soundings and Delayed Information under MAR

ESAs submit joint letter to Commission on Cross-Selling of Financial Products

FCA clarifies overall responsibility of legal function under Senior Managers regime

ESMA cooperates with Mexico and South Africa on CCPS

ESMA publishes slides from hearing on validation and review of CRA's methodologies

FCA publishes regulation round-up January 2016

Emerging market regulators aim to reinforce commitment to strengthe n resilience while ensuring fair and orderly markets

UNODC and EU launch initiative against human trafficking

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