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Financial Regulatory Developments 14 November - European Securities and Markets Authority (ESMA)

  • Dentons
  • -
  • European Union
  • -
  • November 14 2014

ESMA has launched a call for evidence to help it draft its Opinion on passporting under the Alternative Investment Fund Managers Directive (AIFMD

Financial Regulatory Developments 14 November - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom, USA
  • -
  • November 14 2014

FCA and the US Commodity Futures Trading Commission (CFTC) have fined five banks more than $3 billion for failures in their FX trading operations

Financial Regulatory Developments 14 November - Council of the European Union (Council)

  • Dentons
  • -
  • European Union
  • -
  • November 14 2014

The Council has confirmed its agreement to the general approach on the Insurance Distribution Directive (IMD 2) and invites the Parliament and

Financial Regulatory Developments 7 November - Official Journal of the European Union (OJEU)

  • Dentons
  • -
  • European Union
  • -
  • November 7 2014

The Commission Delegated Regulation on Regulatory Technical Standards (RTS) on identifying the geographical location of credit exposures for the

Financial Regulatory Developments 7 November - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • November 7 2014

FCA has launched a consultation on a proposed charge cap on auto-enrolment funds and banning certain charging practices in relation to contract-based

Financial Regulatory Developments 7 November - Presidency of the European Union (Presidency)

  • Dentons
  • -
  • European Union
  • -
  • November 7 2014

The Presidency has published a further compromise text for the revised Payment Services Directive (PSD 2). (Source: Presidency Publishes PSD 2

Financial Regulatory Developments 31 October - Joint Money Laundering Steering Group (JMLSG)

  • Dentons
  • -
  • Global
  • -
  • October 31 2014

JMLSG is consulting on changes to its sectoral guidance on prevention of money laundering in the fundraising and investment activities of private

Financial Regulatory Developments 31 October - Council of the European Union (Council)

  • Dentons
  • -
  • European Union
  • -
  • October 31 2014

The Council has published the version of the Regulation on packaged retail and insurance-based investment products (PRIIPs) adopted in Trilogue. The

Financial Regulatory Developments 31 October - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • October 31 2014

FCA has published its decision to fine Paul Reynolds £290,344 and ban him from the industry because it believes he lacks integrity. It found that

Financial Regulatory Developments 17 October - European Securities and Markets Authority (ESMA)

  • Dentons
  • -
  • European Union
  • -
  • October 17 2014

ESMA's Securities and Markets Stakeholder Group (SMSG) has responded to ESMA's consultation on draft technical standards and possible delegated acts