Financial Innovation

FCA Director speech on UK FinTech: Regulating for innovation

The FCA has published a speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the FCA’s event on UK FinTech: Regulating for innovation on 22 February 2016. The speech focuses on the questions of how can regulation foster innovation in financial services and as part of that how can regulators ensure a …

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SEC publishes Investor Bulletin on Crowdfunding for Investors

The SEC’s Office of Investor Education and Advocacy has issued an Investor Bulletin to educate investors about a new investing opportunity in the form of securities-based crowdfunding. Crowdfunding generally refers to a financing method in which money is raised through soliciting relatively small individual investments or contributions from a large number of people.  Over the …

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New Bank Start-up Unit launched by the financial regulators

The Prudential Regulation Authority (PRA) and FCA have today launched the New Bank Start-up Unit. The Unit is a joint initiative from the UK’s financial regulators giving information and support to newly authorised banks and those thinking of becoming a new bank in the United Kingdom. The joint New Bank Start-up Unit will assist new …

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Latest BaFIN Journal has been published

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 January 2016 issue amongst other topics focuses on: FinTech: Startups in the financial sector the …

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EBA acknowledges report by ENISA on cloud services in the EU banking sector

Following a workshop on cloud services in the banking sector jointly hosted with the European Banking Authority (EBA) in London, the European Network and Information Security Agency (ENISA) has issued a report including a number of recommendations for the secure adoption of cloud computing in the banking sector at the EU level. Further information can …

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FCA publishes review of regulatory regime for crowdfunding

The FCA on 3rd Februay has published its review of the regulatory regime for crowdfunding and the promotion of non-readily realisable securities by other media. The review focuses on the kinds of crowdfunding activity that is regulated by the FCA: Loan-based crowdfunding crowdfunding platforms,2 on which people lend money to individuals or businesses in the …

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