2017

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EBA observes good level of compliance with its guidelines on O-SIIs

The European Banking Authority (EBA) published today a Report on the peer review carried out to evaluate the implementation of its Guidelines on the criteria for the assessment and identification of other systemically important institutions (O-SIIs) across the EU. Overall, the peer review concluded that the majority of the authorities are compliant with the EBA …

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British financial regulator warns about risks of investing in cryptocurrency derivatives

The British financial regulator, the Financial Conduct Authority (FCA), has today published a warning about the risks of investing in cryptocurrency Contracts for differences (CFDs). The FCA stated that “CFDs, including financial spread bets, with cryptocurrencies as the underlying investment are increasingly being marketed to consumers. These products are extremely high-risk, speculative products.” The FCA …

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ESMA clarifies MiFID II trading obligation for shares

The European Securities and Markets Authority (ESMA) has updated today its Question and Answers (Q&As) regarding the implementation of the Markets in Financial Instruments Directive (MiFID II). Today’s update clarifies the application of the trading obligation for shares to trade certain instruments on-venue. MiFIR introduces a trading obligation for shares that will require investment firms …

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ESMA provides several updates on investor protection under MiFID II

The European Securities and Markets Authority (ESMA) has added 4 new Q&As to its Questions and Answers (Q&A) document on the implementation of investor protection topics under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The new Q&As cover the topics of post-sale reporting, record keeping, and inducements. The overall MiFID II Q&A …

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ESMA consults on quote rules for systematic internalisers under MiFID II

The European Securities and Markets Authority (ESMA) has today opened a public consultation on a proposed amendment to the Regulatory Technical Standard (RTS 1) which details the implementation of the Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). ESMA proposes to amend RTS 1 to clarify that systematic internalisers’ (SI) quotes should reflect …

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The key aspects investors look for in RegTech firms (Part 2)

In the first part of this article we looked at the investment landscape in the RegTech sector and why it makes sense to invest in RegTechs developing regulatory solutions. In the second part, we will now look at the most important aspects of a RegTech investment, what investors look for, how they valuate an investment …

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FSB considers financial stability implications of artificial intelligence and machine learning

The Financial Stability Board (FSB) today published a report that considers the financial stability implications of the growing use of artificial intelligence (AI) and machine learning in financial services. Financial institutions are increasingly using AI and machine learning in a range of applications across the financial system including to assess credit quality, to price and …

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Commission proposes reform of financial regulators

The European Commission today published a statement with regard to a proposal to reform the supervision of the financial system. Its statement said that “In a move to strengthen the supervision of the European financial system and promote its integration, the European Commission on 20 September put forward proposals to reform the EU’s supervisory authorities. …

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EBA consults on requirements for home-host cooperation under PSD2

The European Banking Authority (EBA) launched today a public consultation on draft regulatory technical standards (RTS) specifying the framework for cooperation and the exchange of information between competent authorities under the revised Payment Services Directive (PSD2). The RTS also clarify the type of information as well as the templates to be used by payment institutions …

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