2 - 2016 - Planet Compliance

Commission extends by one year the application date for the MiFID II package

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The Commission has proposed a one year extension to the entry into application of the revised Markets in Financial Instruments Directive, or MiFID II. This is to take account of the exceptional technical implementation challenges faced by regulators and market participants. The European Commission has today proposed granting national competent authorities and market participants one …

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FATF publishes report on AML and CFT measures in Italy

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The Financial Action Task Force (FATF), an inter-governmental body that develops and promotes polices to protect the global financial system against money laundering and terrorist financing, has today published a mutual evaluation report on AML and CFT measures in Italy. The International Monetary Fund (IMF) conducted the assessment of Italy’s anti-money laundering and counter-terrorist financing (AML/CFT) …

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ESMA publishes responses to the Consultation on access, aggregation and comparison of TR data

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The European Securities and Markets Authority (ESMA) has published the responses received to the Consultation Paper on access, aggregation and comparison of TR data. ESMA had conducted the consultation, which closed on 1 February, since the entry into force of the standards and the start of the reporting obligation, ESMA has worked on ensuring the …

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ESMA publishes responses to the Consultation on PRIIPs Key Information Documents

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The European Securities and Markets Authority (ESMA) has published the responses received to the Consultation Paper on PRIIPs Key Information Documents. The consultation on the Regulatory Technical Standards on the presentation and content of the key information document (KID), the review, revision, and republication of KIDs and on the conditions for fulfilling the requirement to …

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ESMA resumes US CCP recognition process following EU-US agreement

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The European Securities and Markets Authority (ESMA) has welcomed the common approach announced today by the European Commission and the US Commodity Futures Trading Commission (CFTC) on the equivalence of CCP regimes. According to the regulator, this is an important step towards market participants being able to use clearing infrastructures in both the US and …

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FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

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The Financial Conduct Authority (FCA) has today fined Achilles Macris £792,900 for failing to be open and co-operative with the Authority. Mr Macris was Head of CIO International for JPMorgan Chase Bank, N.A. in London. In the role he was responsible for a number of portfolios, including the synthetic credit portfolio, at the time of …

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FCA publishes PS16/4 on access to regulated benchmarks

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The FCA has today published a policy statement (PS16/4) on fair, reasonable and non-discriminatory access to regulated benchmarks. The document reports on the main issues arising from Consultation Paper 15/18 and publish the final rules. In this consultation paper the FCA had set out proposals for fair, reasonable and non-discriminatory access to regulated benchmarks. This Policy Statement summarises …

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ESMA, national securities regulators and ECB to exchange information

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The European Securities and Markets Authority (ESMA) and the European Central Bank (ECB) have concluded a Memorandum of Understanding (MoU) that will allow the exchange of information and cooperation to help both authorities in fulfilling their respective mandates. This MoU describes in general terms how the authorities will cooperate with one another in the performance …

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ESMA to focus on governance, strategy, data and fees in 2016 supervision

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The European Securities and Markets Authority (ESMA) has today published its 2016 supervisory priorities for credit rating agencies (CRAs) and trade repositories (TRs), as well as its annual report summarising the key supervisory work and actions undertaken during 2015. 2016 Supervisory Priorities ESMA has seen a number of changes in the CRA and TR industries …

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FCA issues Policy Development Update – Issue 30

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The FCA today published the Policy Development Update – Issue 30. The document provides information on: publications issued since the last edition information about recent Handbook-related and other developments other publications – consumer publications, guidance consultations and finalised guidance an updated timetable for forthcoming publications This month the Policy Development Update includes an updated timetable for future …

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February 2016

Commission extends by one year the application date for the MiFID II package

FATF publishes report on AML and CFT measures in Italy

ESMA publishes responses to the Consultation on access, aggregation and comparison of TR data

ESMA publishes responses to the Consultation on PRIIPs Key Information Documents

ESMA resumes US CCP recognition process following EU-US agreement

FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

FCA publishes PS16/4 on access to regulated benchmarks

ESMA, national securities regulators and ECB to exchange information

ESMA to focus on governance, strategy, data and fees in 2016 supervision

FCA issues Policy Development Update – Issue 30

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