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Results: 1-10 of 1,814

Tribunal upholds market abuse fine
  • Dentons
  • United Kingdom
  • January 4 2013

The Tribunal has upheld the fine imposed on Patrick Sejean. Mr Sejean had appealed FSA's finding and fine for market abuse. The Tribunal had upheld the


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


Boe and FSA consult on powers over parents
  • Dentons
  • United Kingdom
  • January 4 2013

BoE and FSA are consulting on how PRA will use the powers of direction that the Financial Services Act 2012 has given it over "qualifying parent


Commission clarifies EMIR standards
  • Dentons
  • European Union
  • January 4 2013

Following its adoption of EMIR regulatory and implementing technical standards (see FReD 21 December 2012) the Commission has clarified that it has asked


ESMA consults on CCP interoperability guidelines
  • Dentons
  • European Union
  • January 4 2013

ESMA is consulting on guidelines for national regulators on assessing interoperability arrangements for CCPs under EMIR. The guidelines cover: legal


Financial Regulatory Developments 14 March - Bank of England (BoE)
  • Dentons
  • United Kingdom
  • March 14 2014

BoE has announced the appointment of Lord Grabiner to help its investigations into activities in the foreign exchange (fx) market. (Source: BoE


Financial Regulatory Developments 14 March - European Securities and Markets Authority (ESMA)
  • Dentons
  • European Union
  • March 14 2014

ESMA has published its latest Risk Dashboard. It found an improvement in conditions in the securities markets, but noted that risks are still


MiFID 2 ESMA issues first consultation papers
  • Dentons
  • European Union
  • May 28 2014

The MiFID 2 package, comprising the revised Markets in Financial Instruments Directive (MiFID 2) and Regulation (MiFIR) is likely to take effect in


IMA disappointed with AIFMD level 2
  • Dentons
  • United Kingdom
  • January 4 2013

IMA has criticised many of the provisions of the final AIFMD Level 2 guidance. It says it is a disappointing outcome which has arisen from a flawed


Financial Regulatory Developments 1 August - Prudential Regulation Authority (PRA)
  • Dentons
  • United Kingdom
  • August 1 2014

Following Treasury's consultation on implementation of the Bank Recovery and Resolution Directive (BRRD) (see FReD 25 July), PRA has now published