Month: May 2017

ESMA provides guidance on disclosure of inside information and order cancellation under MAR

The European Securities and Markets Authority (ESMA) has updated today its Q&A on practical questions regarding the implementation of the Market Abuse Regulation (MAR). The updated Q&As include new answers regarding: Disclosure of inside information related to Pillar II requirements; and Blanket cancellation of orders policy. The purpose of this document is to promote common …

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What Blockchain means for AML regulation (and viceversa)

Blockchain technology is going to transform the financial industry in the coming years. This is likely to cause regulatory change, in particular with regard to Anti-Money Laundering (AML) laws. This post will look at how financial instruments based on Blockchain will impact AML regulation – and vice versa. When the German regulator BaFIN a year ago …

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Australian regulator proposes next steps on regtech

ASIC, the Australian regulator, will establish a new regtech industry liaison network, conduct a number of new technology trials using regtech applications and establish a ‘hackathon’ later this year to help identify roadblocks to the successful and rapid take-up of the sector. The initiatives are among a range of proposals covered in Report 523 ASIC’s …

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Finance for Compliance Professionals: The 10 richest Hedge Fund Managers in the world

Hedge Funds have come under pressure in recent times. Firstly, they are almost always blamed when things go wrong in the financial world – take the Global Financial Crisis of 2008. What followed was more regulatory scrutiny. Then they found it difficult to make money like in their heydays before the crisis, which in turn …

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Foreign Exchange Working Group’ global code of conduct sets out good foreign exchange market practice

A global code of conduct for the wholesale foreign exchange (FX) market was released today in London. The FX Global Code establishes a common set of guidelines for good practice in the FX market, a vital part of the global financial system with turnover of more than $5 trillion a day. The guidelines, developed by …

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EBA consults on scope of its draft guidelines on connected clients

The European Banking Authority launched today a consultation focusing on the scope of its draft Guidelines on connected clients, on which it had already sought the stakeholders’ views in July 2016. In the new consultation, the EBA is proposing to extend the scope of these draft Guidelines to the remaining aspects of the Capital Requirements …

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The Planet Compliance RegTech Directory 2nd edition – Register NOW!

The update to the PlanetCompliance RegTech Directory is coming soon! Register for free to be included in the 2nd edition if you’re not already in it. In December, after many weeks of hard work of our small team, we published the PlanetCompliance RegTech Directory, having researched and reviewed a large number of RegTech firms and their …

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SEC Files Charges in Trading Scheme Involving Confidential Government Information

The Securities and Exchange Commission today announced charges in an alleged insider trading scheme involving tips of nonpublic information about government plans to cut Medicare reimbursement rates, which affected the stock prices of certain publicly traded medical providers or suppliers. The SEC’s complaint alleges that David Blaszczak, a former government employee turned political intelligence consultant, …

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