Day: 4 April 2016

ESMA says don't exclude ETDs from MiFID II trading venues and CCPs

The European Securities and Markets Authority (ESMA) has released a statement today that it sees no need to temporarily exclude exchange-traded derivatives (ETDs) from non-discriminatory access to central counter-parties (CCPs) and trading venues, which will be introduced by the Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). MiFIR requires ESMA to assess whether …

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ESMA updates its EMIR Q&A

The European Securities and Markets Authority (ESMA) has published today an update of its Questions and Answers (Q&A) document regarding the implementation of the European Market Infrastructure Regulation (EMIR). The updated document includes a new Q&A regarding the population of the “Clearing obligation” field in the trade reports. In particular, this Q&A explains how the …

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PRA consults on building societies’ treasury and lending activities

The Prudential Regulation Authority (PRA) today published the consultation paper CP12/16 “Supervising building societies’ treasury and lending activities”. This consultation paper (CP) sets out proposed changes to Supervisory Statement 20/15 on the approach and expectations of the PRA in its supervision of building societies’ treasury and lending activities. The CP and draft supervisory statement are relevant to building …

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FinCEN Proposes to Amend Definition of Broker-Dealer in Securities to Include Funding Portals

The Financial Crimes Enforcement Network (FinCEN) today proposed to amend the Bank Secrecy Act’s (BSA) definition of “Broker or Dealer in Securities” in order to ensure that funding portals implement policies and procedures reasonably designed to achieve compliance with the BSA requirements, including the filing of suspicious activity reports, currently applicable to brokers or dealers …

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The 7 Deadly Sins of Market Abuse (Part VI): Dissemination

Welcome to our sixth posts of this series that looks at the offence of Dissemination. Dissemination is defined as giving out information that conveys a false or misleading impression about an investment or the issuer of an investment where the person doing this knows the information to be false or misleading. The FCA deals with …

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FCA publishes monthly policy development update

The FCA has published the latest Policy Development Update – Issue 32, which summarises the latest developments since its last update and provides information about recent Handbook-related and other developments as well as an updated timetable for forthcoming publications. This month the Policy Development Update includes an updated timetable for future publications and links to: Consultation …

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