26 October 2016

US Regulator shifts focus to FinTech, issues Responsible Innovation Framework

Leave a Comment / Uncategorised / By Planet Compliance

The Office of the Comptroller of the Currency (OCC) today announced it will establish an office dedicated to responsible innovation and implement a formal framework to improve the agency’s ability to identify, understand, and respond to financial innovation affecting the federal banking system. “The OCC supports responsible innovation that enhances the safety and soundness of …

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ESMA clarifies investment recommendations under Market Abuse Regulation

Leave a Comment / Uncategorised / By Planet Compliance

The European Securities and Markets Authority (ESMA) has today provided an updated to its MAR Q&A that clarifies, which communications should be considered investment recommendation in accordance with the implementation of the Market Abuse Regulation (MAR). ESMA is required to play an active role in building a common supervisory culture by promoting common supervisory approaches …

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26 October 2016

US Regulator shifts focus to FinTech, issues Responsible Innovation Framework

ESMA clarifies investment recommendations under Market Abuse Regulation

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