The FCA has published a Call for Input on the review of retained provisions of the Consumer Credit Act. The review will consider whether particular CCA provisions remain appropriate or should be modified, updated, or replaced by FCA rules or guidance in order to maintain the right degree of consumer protection for today’s market. Christopher Woolard, …
The documents required by Swiss private life insurers to collect data for the 2015 financial reporting on occupational pension schemes have been published by FINMA today. The deadline for submitting reports to FINMA is 30 April 2016. Reports must be audited before submission to FINMA, i.e. life insurance companies must have undergone an audit conducted …
FINMA publishes guidance on 2015 financial reporting on occupational pension schemes Read More »
The SEC’s Office of Investor Education and Advocacy has issued an Investor Bulletin to educate investors about a new investing opportunity in the form of securities-based crowdfunding. Crowdfunding generally refers to a financing method in which money is raised through soliciting relatively small individual investments or contributions from a large number of people. Over the …
SEC publishes Investor Bulletin on Crowdfunding for Investors Read More »
The European Securities and Markets Authority (ESMA) has issued today a follow-up peer review into the compliance of national competent authorities (NCAs) with guidelines regarding money market funds. This report follows up an earlier peer review already published in April 2013, focusing on eight NCAs that were not compliant with the guidelines. The follow-up peer …
ESMA issues follow-up review on money market fund guidelines Read More »
The Financial Industry Regulatory Authority (FINRA) announced today that it has barred David Michael Gutman, a Vice President in the conflicts office of J.P. Morgan Securities, LLC, and Christopher John Tyndall, a former registered representative at Meyers Associates, L.P, from the securities industry for their roles in an insider trading scheme. Gutman and Tyndall were …
FINRA bars investment firms VP and Broker Friend in Insider Trading Scheme Read More »
The European Securities and Markets Authority (ESMA) has today published a Discussion Paper (DP) regarding the technical implementation of the incoming Benchmarks Regulation (BR). ESMA is seeking stakeholder’s input to inform its future proposals on draft Regulatory Technical Standards (RTS) and Technical Advice (TA) to the European Commission. Comments to the Discussion Paper are due …
ESMA consults on implementation of the Benchmarks Regulation Read More »
BaFIN, the German financial regulatory authority, has today published its latest issue of the BaFIN Journal, its monthly bulletin that contains technical articles, interviews and reports on important national and international regulatory issues as well as the official announcements of insurance supervision. The February 2016 issue focuses amongst other topics on guidance on the technology behind cryptocurrencies based blockchain, the German Ring fencing Act, and the updates …
The FCA today has published the Policy Statement PS16/5: Strengthening accountability in banking and insurance: implementation of SM&CR and SIMR, and PRA requirements on regulatory references. This policy statement contains, among other things, the PRA and FCA final rules to implement the proposals for applying the Senior Insurance Managers Regime (SIMR) to Swiss general insurers. In …
FCA issues PS16/5 on accountability in banking and insurance Read More »
The European Securities and Markets Authority (ESMA) will hold an open hearing on its Consultation Paper published on the 28th of January 2016 on two sets of draft Guidelines to be issued by ESMA under the remit of Regulation (EU) No 596/2014 of the European Parliament and of the Council on market abuse (MAR). The ESMA …
The European Securities and Markets Authority (ESMA) has published its first Supervisory Convergence Work Programme 2016 (SCWP), which details the activities and tasks it will carry out to promote sound, efficient and consistent supervision across the European Union. The publication of the SCWP expands on the high-level objective outlined in the Annual Work Programme 2016 …
ESMA publishes first supervisory convergence work programme Read More »
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