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Results: 1-10 of 616

Financial Regulatory Developments 24 April - Council of the European Union ( Council)

  • Dentons
  • -
  • European Union
  • -
  • April 24 2015

The Council has adopted the fourth Money Laundering Directive (MLD4) and amended the Wire Transfer Regulation. The European Parliament (EP) must now

Financial Regulatory Developments 17 April - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • April 17 2015

FCA has fined Bank of New York Mellon London Branch and Bank of New York Mellon International £126 million for failure to comply with the custody

Financial Regulatory Developments 2 April - European Securities and Markets Authority (ESMA)

  • Dentons
  • -
  • European Union
  • -
  • April 2 2015

The Commission Delegated Regulation on the information supervisors must provide to ESMA under the Alternative Investment Fund Managers Directive

Financial Regulatory Developments 2 April - HM Treasury (Treasury)

  • Dentons
  • -
  • United Kingdom
  • -
  • April 2 2015

Treasury has issued a Memorandum of Understanding (MOU) between BoE, FCA, PSR and PRA as required by the Banking Reform Act. The MoU describes the

Financial Regulatory Developments 2 April - Legislation

  • Dentons
  • -
  • United Kingdom
  • -
  • April 2 2015

The Small Business, Enterprise and Employment Act 2015 has received Royal Assent. It includes several provisions relevant to financial services

Financial Regulatory Developments 27 March - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • March 27 2015

FCA has published a Discussion Paper to gauge views on how it might implement certain conduct of business (COB) and operational requirements of MiFID

Financial Regulatory Developments 27 March - European Securities and Markets Authority (ESMA)

  • Dentons
  • -
  • European Union
  • -
  • March 27 2015

ESMA has published a call for evidence seeking views on the approach to disclosure for Structured Finance Instruments (SFIs) originated andor traded

Financial Regulatory Developments 20 March - HM Treasury (Treasury)

  • Dentons
  • -
  • United Kingdom
  • -
  • March 20 2015

Treasury has published an update to the Special Resolution Regime (SRR) Code of Practice under the Banking Act, which it has presented to Parliament

Financial Regulatory Developments 13 March - Prudential Regulation Authority (PRA)

  • Dentons
  • -
  • United Kingdom
  • -
  • March 13 2015

PRA has written to insurers with a clarification of its expectations on matching adjustment and internal model applications. Insurers will be able to

Financial Regulatory Developments 13 March - UK Financial Services and Markets Regulators

  • Dentons
  • -
  • United Kingdom
  • -
  • March 13 2015

FCA has published a thematic review and supporting papers that show consumers do not understand structured products. FCA carried out research that