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Financial Regulatory Developments 15 May - Joint Committee of European Supervisory Authorities (ESAS) (EBAEIOPAESMA)
  • Dentons
  • European Union
  • May 15 2015

The ESAs have published the responses to the consultation on draft guidelines for cross-selling practices. There were 33 responses to the


Financial Regulatory Developments 8 May - The Joint Committee of European Supervisory Authorities (ESAS) (ESMAEBAEIOPA)
  • Dentons
  • European Union
  • May 8 2015

The Joint Committee of the ESAs has published its fifth "Report on Risks and Vulnerabilities in the EU Financial System". Overall, the report found


Financial Regulatory Developments 1 May - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • May 1 2015

FCA has fined Moorhouse Group Limited £159,300 for failing to have in place controls to ensure customers to whom it sold motor and liability-related


Financial Regulatory Developments 2 April - European Insurance and Occupational Pensions Authority (EIOPA)
  • Dentons
  • European Union
  • April 2 2015

EIOPA has published a consultation paper inviting views on the draft Implementing Technical Standards (ITS) on the procedures and templates for


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 - Official Journal of the European Union (OJEU)
  • Dentons
  • European Union
  • March 27 2015

The Commission has published in the OJEU the Delegated Regulation on own funds requirements for firms based on fixed overheads. (Source: Delegated


Financial Regulatory Developments 27 March - Prudential Regulation Authority (PRA)
  • Dentons
  • United Kingdom
  • March 27 2015

PRA has published its first set of final rules implementing the Senior Manager Regime (SMR) and certification regime for banks, building societies


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 6 March - International Organisation of Securities Commissions (IOSCO)
  • Dentons
  • Global
  • March 6 2015

IOSCO, jointly with FSB, has published Assessment Methodologies for Identifying Non-Bank Non-Insurer Global Systemically Important Financial


Financial Regulatory Developments 6 March - European Insurance and Occupational Pensions Authority (EIOPA)
  • Dentons
  • European Union
  • March 6 2015

EIOPA has created a new workstream to focus on infrastructure investments by insurers. It wants to develop a definition of infrastructure investments