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Financial Regulatory Developments 20 March - Financial Conduct Authority (FCA)

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

FCA has published a report into the current account switching service, which shows that, generally, it is working for consumers. The report found the

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

MiFID 2: ESMA publishes first technical advice

  • Dentons
  • -
  • European Union
  • -
  • December 23 2014

The European Securities and Markets Authority (ESMA) published the follow-up papers to its summer consultations on the revised Markets in Financial

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

Financial Regulatory Developments 6 February - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • February 6 2015

FCA has confirmed the final rules requiring firms to set up and maintain independent governance committees (IGCs). IGCs will represent the interests

Outsourcing for asset managers

  • Dentons
  • -
  • European Union
  • -
  • February 16 2015

It is increasingly difficult for firms easily to check which of the myriad rules on outsourcing in financial services apply to them. Rosali Pretorius

Financial Regulatory Developments 9 January - Joint Committee of European Supervisory Authorities (ESAs) (EBA, ESMA and EIOPA)

  • Dentons
  • -
  • European Union
  • -
  • January 9 2015

The Joint Committee of ESAs has published the final draft of the Joint Guidelines on the convergence of practices aimed at ensuring consistency of

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

UK financial sanctions: the regime and the regulator

  • Dentons
  • -
  • United Kingdom
  • -
  • June 12 2009

Compliance with financial sanctions has made its way up the UK financial regulatory agenda

Financial Regulatory Developments 13 March - European Securities and Markets Authority (ESMA)

  • Dentons
  • -
  • European Union
  • -
  • March 13 2015

ESMA has updated its RTS on Interest Rate Swaps (IRS) under the European Market Infrastructure Regulation (EMIR). It has issued the opinion because