5 April 2016

FCA publishes 2016/17 Business Plan

The Financial Conduct Authority (FCA) has today published its annual Business Plan. The Business Plan outlines seven priority themes which will guide how the FCA will use its flexible resources and provide additional focus for the core activities of the organisation. The seven themes are: pensions, financial crime and anti-money laundering, wholesale financial markets, advice, innovation …

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FCA consults on fees and levies

The FCA today published Consultation Paper CP16/9: FCA regulated fees and levies: rates proposals 2016/17. The FCA has published this consultation since it is funded entirely by the fees and levies recovered from the firms it regulates and receives no subsidies from other sources. The proposals in this Consultation Paper (CP) will enable the regulator to raise the …

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German regulator examines credit-linked notes in retail market

The Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) is investigating the extent to which credit-linked notes are being actively sold to retail clients and whether such clients receive sufficient explanation of the risks involved. To this end, BaFin sent a market-wide survey to issuers of credit-linked notes. Among other things, the survey covers …

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ESMA publishes updated AIFMD Q&A

The European Securities and Markets Authority (ESMA) has published an updated questions and answers document (Q&A) on the application of the Alternative Investment Fund Managers Directive (AIFMD). The Q&A includes a new question and answer on notification requirements relating to additional investment in existing Alternative Investment Funds (AIFs). The purpose of the Q&A document is …

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ESMA publishes updated UCITS Q&A

The European Securities and Markets Authority (ESMA) has published an updated questions and answers document (Q&A) on the application of the Undertakings for the Collective Investment in Transferable Securities Directive (UCITS). The Q&A includes a new question and answer on UCITS investment in UCITS feeder funds. The purpose of the Q&A document is to promote …

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EMIR: ESMA proposes one-day margin period of risk for CCP client accounts

The European Securities and Markets Authority (ESMA) has today sent its amended regulatory technical standards (RTS) under the European Market Infrastructure Regulation (EMIR) for endorsement to the European Commission. The RTS detail the margin period of risk (MPOR) for CCP client accounts, e.g. the amount of initial margins collected by a CCP. The amended RTS would …

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ESMA issues amended rules for access, aggregation and comparison of data across trade repositories

The European Securities and Markets Authority (ESMA) has published today amended regulatory technical standards (RTS) implementing the European Market Infrastructure Regulation (EMIR). The amended RTS deal with the access, aggregation and comparison of data across trade repositories. In order to ensure higher quality of data and to enhance the access to data by authorities and …

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The 7 Deadly Sins of Market Abuse (Part VII): Distortion and misleading behaviour

And now for the grand finale, the last of the 7 market abuse offences: Distortion and misleading behaviour, which is where the behaviour: (a) is likely to give a regular user of the market a false or misleading impression as to the supply of, demand for or price or value of, qualifying investments. (b) would …

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