By , [Alternative Finance insights , At the Regulators , Compliance , ESMA , European Commission , European Union , MiFID insights , News from the EU , Risk Management , Senior Management] What is sustainable finance and what are the consequences for the existing or future governance framework of financial institutions? While the EU’s fight against climate change through changes to regulatory structure is in full swing, …
By , [ABC insights , Alternative Finance insights , AML insights , At the Regulators , Compliance , European Commission , European Union , Market Abuse insights , MLRO , News from the EU , Risk Management] You may be excused to have missed the news that at the end of March the European Parliament and Member States reached a political agreement on a stronger and more integrated European supervisory architecture. With …
By , [Alternative Finance , Alternative Finance insights , AML insights , At the Regulators , Blockchain & Smart Contracts Insights , Compliance , Cryptocurrencies , FCA (UK) , Insights , MLRO , Privacy Officer , RegTech directory , Risk Management , Senior Management , UK] Right in time for the long Easter weekend, the UK’s Financial Conduct Authority (FCA) last week issued its annual business plan for 2019/2020. On 56 pages it sets out the regulator’s main areas of focus, …
By , [Alternative Finance , Alternative Finance insights , At the Regulators , BaFIN (Germany) , Blockchain , Blockchain & Smart Contracts Insights , Compliance , Corporate Finance insights , Crowdfunding , Cryptocurrencies , Germany , Investment Banking , Senior Management] Germany cannot be considered the most welcoming jurisdiction in terms of token regulation. A recent report might spell a change of direction though. Here is why. Monday afternoon I received a gentle notification that the …
By , [Alternative Finance insights , At the Regulators , Compliance , Corporate Finance insights , Crowdfunding insights , Debt , FCA (UK) , Insights , Investment Banking , UK] When the UK’s Financial Conduct Authority (FCA) published a statement before Christmas that announced that it had directed London Capital & Finance plc (LCF) to withdraw all of its existing marketing materials in relation to LCF’s …
By , [Alternative Finance insights , At the Regulators , Compliance , Data Protection&Privacy insights , IT , Risk Management , Senior Management , US] Last week, the FDIC (“Federal Deposit Insurance Corporation”) sent out one of its periodic Financial Institution Letters. This one is about Technology Service Provider Contracts, so if you’re the compliance officer or a member of …