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Results: 1-10 of 82

Financial Regulatory Developments 22 May - European Parliament (EP)
  • Dentons
  • European Union
  • May 22 2015

EP approves benchmarks Regulation: EP has approved the draft Regulation designed to curb conflicts of interest in the benchmark setting process. The


Financial Regulatory Developments 5 December - Council of the European Union (Council)
  • Dentons
  • European Union
  • December 5 2014

The Presidency has published its compromise response to the proposal for a Regulation on money market funds (MMFs). It has proposed significant


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


ISSA publishes background to compliance principles
  • Dentons
  • Global
  • October 16 2015

ISSA has published a background and overview document to introduce financial institutions to its Financial Crime Compliance Principles (see FReD 18


EBA publishes responses to ESAs AMLCTF guidelines
  • Dentons
  • European Union
  • February 5 2016

EBA has published the responses received to the European Supervisory Authorities' (ESAs - ESMA, EBA and EIOPA jointly) two sets of anti-money


Commission formalises MiFID 2 delay proposal
  • Dentons
  • European Union
  • February 12 2016

The Commission has published its proposal to extend every implementation date in the revised Markets in Financial Instruments Directive (MiFID 2) and


Treasury publishes ML NRA
  • Dentons
  • United Kingdom
  • October 16 2015

Treasury has released its first national risk assessment (NRA) on the domestic risks of money laundering (ML) and terrorist financing within the


Financial Regulatory Developments 10 October - Council of the European Union (Council)
  • Dentons
  • European Union
  • October 10 2014

The Council has published a table it received from the European Parliament setting out the list of files that are unfinished. Parliament has divided


Financial Regulatory Developments 24 April - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • April 24 2015

FCA has fined Merrill Lynch International £13,285,900 for transaction reporting failures. It found that over a seven-year period the firm incorrectly


NCA publishes SARs Annual Report 2015
  • Dentons
  • United Kingdom
  • March 18 2016

NCA has published its Suspicious Activity Reports (SARs) Annual Report 2015. The report covers the first year of the UK Financial Intelligence Unit