9 March 2016

FCA launches consultation on client assets regime

The FCA today has published a discussion paper (“DP16/2: CASS 7A and the Special Administration Regime Review”) on a number of aspects of the client assets regime, in particular regarding the client money distribution rules (CASS 7A) and their interaction with the Special Administration Regime (SAR). According to the FCA, if an investment firm holding client …

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ESAs publish final draft technical standards on margin requirements for non-centrally cleared derivatives

The Joint Committee of the European Supervisory Authorities (EBA, EIOPA, ESMA – ESAs) published the final draft Regulatory Technical Standards (RTS) outlining the framework of the European Market Infrastructure Regulation (EMIR). These RTS cover the risk mitigation techniques related to the exchange of collateral to cover exposures arising from non-centrally cleared over-the-counter (OTC) derivatives. They …

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FCA reports on regulatory barriers to innovation in digital and mobile solutions

The FCA today published FS16/2: Feedback Statement on Call for Input: Regulatory barriers to innovation in digital and mobile solutions, in which it summarises the feedback it has received, sets out its response and explains the next steps in the context of the wider Project Innovate agenda. The FCA has issued this statement since it in June …

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