4 - 2016 - Planet Compliance

EIOPA publishes Preparatory Guidelines on Product Oversight and Governance

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Today the European Insurance and Occupational Pensions Authority (EIOPA) published Preparatory Guidelines on Product Oversight and Governance (POG) arrangements to be followed by insurers (manufacturers of insurance products) and distributors. These Guidelines provide early guidance and support national authorities and market participants with the implementation of POG requirements in preparation for formal requirements provided for …

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FCA consults on availability of information in the IPO process

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The FCA has published today a consultation paper on the availability of information in the UK Equity IPO process (DP 16/3). As part of the FCA’s market study into investment and corporate banking the regulator examined the availability of information during the UK IPO process. The evidence showed that, in the typical UK IPO process, the blackout …

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FCA briefs on factors influencing IPO allocations to investors

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The FCA today published its Occasional Paper No. 15: “Quid pro quo? What factors influence IPO allocations to investors?”. In this paper the regulators seeks to understand if the IPO allocation process works in the interest of issuer clients or whether conflicts of interest mayresult in banks favouring their highest-revenue clients when deciding on final allocations …

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EBA briefs on due diligence measures on asylum seekers from high risk countries

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The European Banking Authority (EBA) published today its Opinion setting out measures credit and financial institutions can take to comply with EU Anti- Money Laundering and Counter-Terrorist Financing (AML/CFT) requirements when providing asylum seekers from higher-risk jurisdictions with access to basic financial products and services. In this Opinion, the EBA highlights that efforts to provide …

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13 April 2016

EIOPA publishes Preparatory Guidelines on Product Oversight and Governance

FCA consults on availability of information in the IPO process

FCA briefs on factors influencing IPO allocations to investors

EBA briefs on due diligence measures on asylum seekers from high risk countries

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