Planet Compliance

IMF reports on Blockchain and Internet of Trust

Created to avoid banks, bitcoin’s blockchain technology may end up helping them, is the subtitle of an article of IMF employees in the latest edition of the organisation’s monthly publication Finance & Development (F&D) entitled “The Internet of Trust”. The article discusses the role of technology in potentially making payment more simple and cheaper, explaining …

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Bank of England launches own FinTech Accelerator

The Bank of England (“BoE”) has published a statement in relation to the launch of its own FinTech Accelerator. According to the statement, the BoE starts the initiative to work in partnership with FinTech firms on challenges that we, as a central bank, uniquely face. The Accelerator will work with new technology firms to help us harness FinTech …

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ESMA disagrees with Commission on inside information disclosure under MAR

The European Securities and Markets Authority (ESMA) has issued today an Opinion in response to a notification by the European Commission about intended changes on a draft Implementing Technical Standard (ITS) on the disclosure of inside information under the Market Abuse Regulation. The ITS specify the technical means for disclosure of inside information by issuers …

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ESMA publishes annual report, highlights achievements for investor protection

The European Securities and Markets Authority (ESMA) has published today its Annual Report for 2015, which describes the key accomplishments by ESMA in 2015. In 2015, ESMA has made significant steps in realising its mission of enhancing investor protection and promoting stable and orderly financial markets through a variety of means, namely assessing risks to …

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EBA publishes Annual Report, highlights strengthening of Single Rulebook

The European Banking Authority (EBA) publishes today its 2015 Annual Report, which provides a detailed account of all the work the Authority achieved in the past year and anticipates the key areas of focus in the coming years. In 2015, the EBA completed the bulk of the G20 package, thus strengthening the Single Rulebook applicable …

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German regulator issues monthly guidance – hot topics: netting agreements and the right to a basic bank account

BaFin, the German financial regulatory authority, has today published its latest issue of the BaFin Journal, its monthly bulletin that contains technical articles, interviews and reports on important national and international regulatory issues as well as the official announcements of insurance supervision. The June 2016 issue amongst other topics focuses on BaFin’s recently published General Administrative Act …

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ESMA updates list of recognised third-country CCPs

The European Securities and Markets Authority (ESMA) has updated today its list of recognised central counter-parties (CCPs) based in third countries. Today’s update concerns the recognition of the US Chicago Mercantile Exchange Inc. (CME). The European Markets Infrastructure Regulation (EMIR) requires third-country CCPs to be recognised by ESMA in order to operate in the European …

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Former equities trader sentenced for insider dealing to 2 years prison

The FCA today published a statement regarding a former equities trader at Schroders Investment Management being sentenced for insider dealing. The trader, Damian Clarke, has been sentenced to two years imprisonment having pleaded guilty to nine counts of insider dealing. Between August 2000 and January 2013, Mr Clarke was employed initially as an assistant fund manager …

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The Gamification of Compliance Training and how it could actually be great fun – Interview with Steve Brett, co-founder of E3 Compliance Training

Even when you have the right kind of culture in your firm and colleagues understand the importance of compliance, training is often considered boring and dull, a check-box exercise or a waste of precious time. However, training is a key aspect in a good compliance regime and should help protect a firm from harm in …

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EBA publishes final draft technical standards on specialised lending exposures

The European Banking Authority (EBA) published today its final draft Regulatory Technical Standards (RTS) specifying how institutions should take into account and treat several factors when assigning risk weights to specialised lending exposures. The purpose of these RTS is to harmonise the assignment of risk weights to specialised lending exposures for institutions that apply the …

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