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IOSCO consults on retail structured products
  • Dentons
  • Global
  • April 26 2013

: IOSCO is consulting on a regulatory toolkit for IOSCO members to use when regulating retail structured products (RSP) such as structured notes


Financial Regulatory Developments 13 February - International Capital Market Association (ICMA)
  • Dentons
  • Global
  • February 13 2015

ICMA has produced a new webpage and published "The Pan-European Private Placement Guide". The Guide is intended to provide a non-binding framework of


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


FATF publishes corruption laundering paper
  • Dentons
  • Global
  • July 6 2012

FATF has published a paper to help institutions better analyse and understand specific risk factors that may suggest corruption-based money laundering risk


EP amends voting dates
  • Dentons
  • Global
  • August 10 2012

The indicative date for the EP Plenary hearings on the proposed Directive and Regulation amending the Markets in Financial Instruments Directive (MiFID 2 and MiFIR) and on the proposed Market Abuse Regulation and Directive on Criminal Sanctions on Market Abuse (MAR and CMAD) has been postponed by one day to 20 November


Financial Regulatory Developments 7 March - International Organisation of Securities Commissions (IOSCO)
  • Dentons
  • Global
  • March 7 2014

In a speech on the shift towards market-based financing, IOSCO's deputy secretary general has suggested that it is time to start thinking about


Financial Regulatory Developments 28 February - International Organisation of Securities Commissions (IOSCO)
  • Dentons
  • Global
  • February 28 2014

The Board of IOSCO has held a meeting in Kuala Lumpur, Malaysia, where it focused on growth and emerging markets, announcing the preparation of a


Financial Regulatory Developments 31 January - Financial Stability Board (FSB)
  • Dentons
  • Global
  • January 31 2014

FSB has updated its handbook for peer reviews, which explains the purpose and process for thematic and country reviews. (Source: FSB Updates Peer


Third-country AIFMs: ESMA says slow down
  • Dentons
  • European Union, Global
  • August 3 2015

The Alternative Investment Fund Managers Directive (AIFMD) required ESMA to review, by July 2015, how the arrangements under AIFMD for marketing AIFs


Financial Regulatory Developments 21 February - Wealth Management Association (WMA)
  • Dentons
  • Global
  • February 21 2014

WMA has published a paper reminding of the difficulties that the provision of a Key Investor Document (KID) would cause in the on-exchange secondary