Today’s post is a true highlight as the offence of Market Abuse in the form of Manipulating Transactions has it...
Month: March 2016
The European Securities and Markets Authority (ESMA) has published its final Guidelines on sound remuneration policies under the UCITS Directive...
The European Securities and Markets Authority (ESMA) has fined the trade repository DTCC Derivatives Repository Limited (DDRL) €64,000, and issued...
The FCA today published a statement on peer-to-peer applications for full authorisation. The FCA stated that "this is a young and...
The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) today published the joint Policy Statement PS16/11: Complaints against the Regulators (PRA PS14/16)....
The Office of the Comptroller of the Currency (OCC) has published the white paper "Supporting Responsible Innovation in the Federal Banking System". The paper describes the OCC’s vision for...
Welcome to Part III of our series on the seven market abuse offences as we know them in the regulatory...
The European Securities and Markets Authority (ESMA) has opened today a public consultation on draft guidelines under the Market Abuse...
The European Banking Authority (EBA) report on remuneration practices published today shows that the number of high earners in EU...
The FCA today published PS16/10: Financial Services Compensation Scheme – Management Expenses Levy Limit 2016/17. This Policy Statement is a report on...
Part II of our series of the 7 Deadly Sins of Market Abuse looks at the offence of Improper Disclosure....
The FCA today issued GC16/3: Primary Market Bulletin No. 13, in which it consults on proposed changes to the Knowledge Base. This...
The European Securities and Markets Authority (ESMA) has published its annual report on the enforcement and regulatory activities of accounting...
The Prudential Regulation Authority (PRA) today issued a consultation on the implementation of MiFID II: Part 1 – CP9/16. In this consultation...
The PRA has published a Policy Statement on amendments to the PRA’s rules on loan to income ratios in mortgage...
