BANKING

Financial Services and Markets Act 2000 (Early Exit Pension Charges) Regulations 2016

The Financial Services and Markets Act 2000 (Early Exit Pension Charges) Regulations 2016 (2016/1079) have been published and come into force on the 31 March 2017. 

Legislation.gov.uk, 10 November 2016

BBA access to banking protocol – One Year on Review

The British Bankers' Association (BBA) has published a review of its access to banking protocol. 

BBA, 10 November 2016

FCA speech – Effectiveness and proportionality - financial crime priorities

The FCA has published a speech given by Rob Gruppetta, the head of the financial crime department on their financial crime priorities.

FCA, 10 November 2016

Basel III revision – MEPs vote

The European Parliament's Committee on Economic and Monetary Affairs (ECON) has voted on the finalisation of Basel III. 

ECON, 10 November 2016

EBA newsletter on upcoming publications

The EBA has published an upcoming EBA publications newsletter for October-December 2016.  

EBA, 10 November 2016

ECON publishes draft report on MLD5

The European Parliament has published a draft report on the proposed Fifth Money Laundering Directive.  

European Parliament, 10 November 2016

INVESTMENTS AND FUNDS

ESMA MAR guidelines on persons receiving market soundings

ESMA has republished the final versions of its Market Abuse Regulation guidelines relating to market soundings which apply from 10 January 2017.

ESMA, 10 November 2016 

ESMA publishes final report on technical advice under the Benchmarks Regulation

ESMA has published a final report providing technical advice under the Benchmarks Regulation.

ESMA, 10 November 2016

ESMA publishes consultation paper on draft RTS on package orders under MiFID II

ESMA has published a consultation paper on draft regulatory technical standards (RTS) on package orders under Article 9(6) of the Markets in Financial Instruments Regulation. 

ESMA, 10 November 2016