Month: May 2018

ESMA provides update on Investor Protection and Intermediary Topics under MiFID II

The European Securities and Markets Authority (ESMA) has added 9 new or updated Q&As to its Questions and Answers (Q&A) on MiFID II/MiFIR investor protection topics. The new or updated Q&As cover the topics of best execution, client categorisation, provision of investment services and activities by third country firms, and other issues.   The overall MiFID II Q&A …

ESMA provides update on Investor Protection and Intermediary Topics under MiFID II Read More »

US Watchdog Issues Advisory for Virtual Currency Products

The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) and Division of Clearing and Risk (DCR) today issued a joint staff advisory that gives exchanges and clearinghouses registered with the CFTC guidance for listing virtual currency derivative products. “The CFTC staff is committed to providing regulatory clarity as much as possible,” said DMO …

US Watchdog Issues Advisory for Virtual Currency Products Read More »

The Rise of Crypto Theft and How to Protect Your Valuable Coins

Crypto Theft is becoming more and more widespread. Thanks to the growing popularity of cryptocurrencies and ICOs, the cases of criminal acts are increasing. PlanetCompliance explains how these thefts work and what you can do to protect your valuable coins. If you own Ether*, the chances are high that at one time you were using …

The Rise of Crypto Theft and How to Protect Your Valuable Coins Read More »

CFTC Proposes Rule to Reduce Regulatory Burdens for U.S. Market Participants

The Commodity Futures Trading Commission (CFTC) has approved a proposed rule to reduce regulatory burdens for U.S. market participants in order to promote economic growth and job creation, by bringing certain CFTC requirements in line with other U.S. regulators and is seeking public comments on the proposal. “For more than a century, U.S. businesses have …

CFTC Proposes Rule to Reduce Regulatory Burdens for U.S. Market Participants Read More »

Do Banks Comply with MiFID II? – Insights from the German Regulator

Today, it’s been 133 days that MiFID II has become applicable. Time to take stock and have a first look at MiFID II compliance – Do financial institutions follow the new rules? What are the stumbling blocks? And where do they need to improve? It is indeed early for a conclusive picture, but the outcome …

Do Banks Comply with MiFID II? – Insights from the German Regulator Read More »

International watchdog outlines key challenges facing securities regulators

Members of the International Organization of Securities Commissions (IOSCO) met at the organization´s 43rd Annual Conference in Budapest this week to discuss and address issues facing securities market regulators and supervisors today. In their meetings, the IOSCO Board, IOSCO´s Growth and Emerging Markets (GEM) Committee, the four Regional Committees and the Affiliate Members Consultative Committee …

International watchdog outlines key challenges facing securities regulators Read More »

Scroll to Top

Add Article

Add your article to Planet Compliance.