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Financial Regulatory Developments 15 May - European Securities and Markets Authority (ESMA)
  • Dentons
  • European Union
  • May 15 2015

ESMA has written to the Commission, suggesting there may be a delay in finalising several RTS under the revised Markets in Financial Instruments


Financial Regulatory Developments 22 May - Prudential Regulation Authority (PRA)
  • Dentons
  • United Kingdom
  • May 22 2015

Andrew Bailey, CEO of PRA, has spoken on the role of financial markets and non-bank institutions in the recent financial crisis and the important


Financial Regulatory Developments 22 May - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • May 22 2015

FCA has levied a record £284,432,000 fine on Barclays Bank Plc (Barclays) for failing to control business practices in its London FX business. FCA


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 15 May - Official Journal of the European Union (OJEU)
  • Dentons
  • European Union
  • May 15 2015

A Delegated Regulation with regard to RTS on major holdings has been published in the OJEU. (Source: Delegated Regulation with Regard to Certain


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 8 May - European Parliament (EP)
  • Dentons
  • European Union
  • May 8 2015

The Economic and Monetary Affairs Council within the EP and the Latvian Presidency of the EU have reached an informal political agreement on the


FSA speaks on transaction monitoring
  • Dentons
  • United Kingdom
  • February 8 2013

Patrick Spens, head of Market Monitoring at FSA, has addressed firms on their transaction monitoring obligations. In December FSA sent a letter to


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


Financial Regulatory Developments 16 May - Official Journal of the European Union (OJEU)
  • Dentons
  • European Union
  • May 16 2014

The Commission Implementing Regulation No 4842014 on the hypothetical capital of a central counterparty (CCP) under the European Market