Planet Compliance

2 min read

ESMA publishes report on proxy advisors’ best practice principles

PlanetCompliance

The European Securities and Markets Authority (ESMA) today published its Follow-up Report on the development of the ‘Best Practice Principles...

1 min read

ESMA publishes CRA market share calculation

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published its annual market share calculation for EU registered credit rating agencies...

2 min read

P2P and Marketplace Lending – An Introduction

PlanetCompliance

The original idea behind Marketplace Lending, often synonymously used with P2P Lending, comes from loans being made between peers, i.e....

1 min read

FATF stresses importance of measures to counter terrorist financing and help defeat ISIL

PlanetCompliance

In an address at Special Session of the United Nations Security Council meeting of Finance Ministers the president of the FATF, Je-Yoon...

1 min read

ESMA publishes Final Report on MiFID II guidelines for the assessment of knowledge and competence

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published today the Final Report on guidelines for the assessment of knowledge...

2 min read

ESMA see continued high levels of risk in financial markets

PlanetCompliance

The European Securities and Markets Authority (ESMA) has issued today its Risk Dashboard for the European securities markets covering the...

2 min read

IOSCO publishes results of the third annual Risk Outlook Survey

PlanetCompliance

The Research Department of the International Organization of Securities Commissions (IOSCO) today published a Staff Working Paper entitled Risk Outlook...

1 min read

ESMA publishes updated CRA Q&A

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published an updated questions and answers on the application of the Credit...

2 min read

EBA defines harmonised prudential requirements for Central Securities Depositories (CSDs)

PlanetCompliance

The European Banking Authority (EBA) published today its draft Regulatory Technical Standards (RTS) on prudential requirements for Central Securities Depositories...

2 min read

Crowdfunding Country Report: UK

PlanetCompliance

The Financial Conduct Authority (FCA) is the responsible regulator in the UK for loan-based crowdfunding platforms as well as investment-based...

1 min read

ESMA publishes updated AIFMD Q&A

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published an updated questions and answers on the application of the Alternative...

1 min read

ESMA update on Prospectus Q&A

PlanetCompliance

The European Securities and Markets Authority (ESMA) has updated its Questions and Answers document (Q&A) on prospectus related issues. The...

4 min read

EBA issues final Guidelines on institutions exposures to shadow banking entities and recommends approach to limiting risks

PlanetCompliance

The European Banking Authority (EBA) published today its final Guidelines regarding limits on institutions' exposures to ‘shadow banking entities' that...

4 min read

The Financial Action Task Force leads renewed global effort to counter terrorist financing

PlanetCompliance

In the light of recent terrorist atrocities the Financial Action Task Force (FATF) today concluded three days of meetings, focussed...

1 min read

Outcome of MONEYVAL’s 49th Plenary meeting

PlanetCompliance

MONEYVAL held its 49th plenary meeting in Strasbourg from 8 to 11 December 2015. At this meeting, the Plenary, inter...