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11 March 2016

ESMA consults on Securities Financing Transaction Regulation

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The European Securities and Markets Authority (ESMA) has issued today a Discussion Paper (DP) on rules under the Securities Financing Transaction Regulation (SFTR). The SFTR, published in December 2015, is the European Union’s response to the global initiative to bring more transparency to shadow banking activities. The new rules on transparency require both financial and …

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Australian regulator imposes additional licence conditions on investment bank

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The Australian regulator ASIC has imposed additional conditions on the Australian financial services (AFS) licence of Macquarie Bank Limited (Macquarie). The additional conditions were imposed on Macquarie following an investigation by ASIC into a series of breach reports lodged by Macquarie relating to breaches of the client money provisions of the Corporations Act, between March 2004 …

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​PRA updates to its approach to banking supervision and insurance supervision

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The ​Prudential Regulation Authority (PRA) has today published updates to its approach to banking supervision and insurance supervision. According to the report on banking supervision, the PRA has two primary objectives: a general objective to promote the safety and soundness of firms; and an objective specific to insurance firms, to contribute to ensuring that policyholders are …

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