4 - 2016 - Planet Compliance

The implications of MiFID II for Business Angel Networks and Angels Investors

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MiFID II is among the hottest topics right now in the world of regulation. It is going to bring widespread changes to the regulatory framework that governs the financial services industry and extends its scope significantly. So you operate a Business Angel Network (“BAN”) or are an existing/potential member of one and you’re wondering whether you …

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FCA updates rules on Financial Services Compensation

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The FCA today published the police statement “PS16/14: Financial Services Compensation Scheme – Changes to the Compensation sourcebook: feedback on CP15/40 and final rules”. In this Policy Statement the FCA reports on the main issues arising from Consultation Paper 15/40: Financial Services Compensation Scheme:changes to the Compensation sourcebook, and publish the final rules. This Policy Statement …

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ESMA reports on EU central counter-parties stress test

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The European Securities and Markets Authority (ESMA) has published today the results of its first EU-wide stress test exercise regarding Central Counter-parties (CCPs). The exercise is aimed at assessing the resilience and safety of the European CCP sector as well as to identify possible vulnerabilities. The results of the test shows that the system of …

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FCA reports on implementation of the Market Abuse Regulation

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The FCA today published its policy statement “PS16/13: Implementation of the Market Abuse Regulation”. In this Policy Statement the FCA reports on the main issues arising from Consultation Paper 15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU) – and Consultation Paper 15/38: Provisions to delay disclosure of inside information …

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FCA reports on survey of firms providing financial advice

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The FCA today published its report on its survey of firms providing financial advice. This report summarises the results of a survey of 233 firms active in providing financial advice on retail investment products, carried out in November 2015. The results from this survey informed Financial Advice Market Review (FAMR) and the proposals recommended. Additionally, the results of this …

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Forget Panama – Bitcoin is the new haven for tax evasion

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The Swiss banking secrecy effectively over, other jurisdictions cooperating with authorities, and the risk of whistleblowers forcing others to reconsider to do so. Tax havens are under a lot of pressure (though far from under threat of extinction) these days, so where to turn next if you are not willing to pay up in your …

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FCA proposes measures to improve the effectiveness of UK primary listed debt markets

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The Financial Conduct Authority (FCA) has today published a report proposing a series of measures aimed at enhancing the UK’s debt listing regime. In November 2015, the Financial Conduct Authority (FCA) launched an initiative whereby it began a series of meetings with a specially convened group of stakeholders in UK primary debt capital markets, the …

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ESMA updates on problems of Structured Finance Instruments reporting

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ESMA has today provided an update on reporting structured finance instruments information under the CRA Regulation. The CRA Regulation requires issuers, originators and sponsor entities to report information in respect of Structured Finance Instruments (SFI) to ESMA. ESMA is responsible under Article 8b of the CRA Regulation for setting up a website where information on …

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ESMA publishes responses to the Consultation on MAR Guidelines

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The European Securities and Markets Authority (ESMA) has published the responses received to the Consultation on draft guidelines on the Market Abuse Regulation (MAR). ESMA had published the consultation, which was open until 31 March, since Article 11(11) of Regulation (EU) No 596/2014 of the European Parliament and of the Council on market abuse (MAR) …

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ESMA responds to Commission Green Paper on Retail Financial Services

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The European Securities and Markets Authority (ESMA) has today published its response to the European Commission’s Green Paper on Retail Financial Services (the ‘Green Paper’). In the response, ESMA conveys its views on a number of topics covered in the Green Paper which are considered relevant to ESMA as well as on ESMA’s activities and …

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April 2016

The implications of MiFID II for Business Angel Networks and Angels Investors

FCA updates rules on Financial Services Compensation

ESMA reports on EU central counter-parties stress test

FCA reports on implementation of the Market Abuse Regulation

FCA reports on survey of firms providing financial advice

Forget Panama – Bitcoin is the new haven for tax evasion

FCA proposes measures to improve the effectiveness of UK primary listed debt markets

ESMA updates on problems of Structured Finance Instruments reporting

ESMA publishes responses to the Consultation on MAR Guidelines

ESMA responds to Commission Green Paper on Retail Financial Services

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