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 …
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. …
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 …
UNODC and EU launch initiative against human trafficking Read More »
The Prudential Regulation Authority has published an update to its approach to enforcement: statutory statements of policy and procedure, which can be found here along with the Statement of Policy. This Prudential Regulation Authority (PRA) Statement of Policy was first published on 1 April 2013 and included statutory statements of policy and procedure in relation …
PRU update on approach to enforcement: statutory statements of policy and procedure Read More »
In times where we can almost exclusively use credit cards instead of cash and mobile payment seems to increase its market share, so that is seems that it is only a question of time when cryptocurrencies and paying with your mobile phone become mainstream, it may seem odd to look into the role of cash …
AML Insight: Money Laundering through the physical transportation of cash Read More »
The French regulatory authority Autorité de marchés financiers (AMF) has published guidance for fund managers on the ELTIF regulation that has come into force on 9 December 2015. The AMF aims to provide answers to the key questions on the regulation as well as to facilitate the application process. The regulator also announced that it is going to update its …
As promised we are trying to shed some more light on the specifics of Market Abuse and have therefore started our new series of articles about the categories of behaviours that constitute Market Abuse. The series is called “The 7 Deadly Sins of Market Abuse” and in its first instalment we look at Insider Dealing …
The 7 Deadly Sins of Market Abuse: Part I – Insider Dealing Read More »
The FCA has published CP16/4 consulting on changing our client money rules for firms that operate electronic systems in relation to lending (P2P platforms) and hold both money for clients in relation to regulated P2P agreements under our client money rules (CASS 7) and money for clients in relation to unregulated lending. The FCA statement and …
FCA consults on loan-based crowdfunding platforms and segregation of client money Read More »
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