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Financial Regulation Weekly Bulletin - 14 November 2019

Slaughter and May

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European Union, United Kingdom November 14 2019

General

  • Financial stability and implementation of resolution reforms – FSB summarises discussions of plenary meeting and publishes progress report
  • Modernisation of EU consumer protection rules – adopted by the Council of the EU at first reading
  • Dissolution of Parliament – Several Bills to make no further progress
  • FCA Consultation Paper CP19/30 – Regulatory fees and levies: Policy proposals for 2020/21

Brexit

  • EIOPA recommendations for the insurance sector – PRA publishes statement on ACPR response
  • Delayed Brexit preparations – ECB warns banks of increased operational risks
  • UK CCPs – trade associations publish letter asking for extension to temporary equivalence and recognition

Banking and Finance

  • Pillar 3 disclosure requirements – Basel Committee consults on revised market risk and disclosures of sovereign exposures
  • Capital Markets Union – Council adopts legislative reforms
  • Non-performing loans – EBA publishes progress report
  • CRD IV – EBA publishes consultation on draft RTS and ITS on passport notifications
  • €STR – ECB publishes report on fallback arrangements
  • DGSD alternative measures to pay-out - EFDI publishes guidance paper
  • Joined Cases C-419/18, C-483/18 Profi Credit Polska v Lisowski and others and Profi Credit Polska v OH
  • Frances Elizabeth Wood v Commercial First Business Limited (in liquidation), Business Mortgage Finance 5 plc and Mortgage Finance 7 plc [2019] EWHC 2205 (Ch)

Securities and Markets

  • Securitisation Regulation – European Commission publishes Delegated Regulation on RTS specifying the information provided in STS notifications
  • PRIIPs Regulation – Delegated Regulation published in the Official Journal
  • EU ETS – Delegated Regulation published in the Official Journal
  • EMIR 2.2 – ESMA advises the European Commission on the supervisory regime for third-country CCPs
  • MiFID II – FCA publishes statement on the extension of SEC no-action relief for inducements and research

Asset Management

  • Principles of Operational and Enterprise Risk for Asset Managers – IA publishes good practice guide

Insurance

  • Supervision of insurance groups – IAIS adopts global frameworks on IAIGs and systemic risk
  • 2020 Solvency II Review – EIOPA publishes Q&As
  • PRA Policy Statement PS25/19 – Solvency II: Maintenance of the transitional measure on technical provisions

Financial Crime

  • Prudential and AML/CTF supervision – Basel Committee launches consultation on Guidelines
  • SARs Annual Report 2019 – published by NCA
  • SARs – NCA publishes updated guidance
  • N v The Royal Bank of Scotland plc, appeal against [2019] EWHC 1770 (Comm)

Enforcement

  • Critchley v Financial Ombudsman Service [2019] EWHC 3036 (Admin)

Contacts

Selmin Hakki (professional support lawyer)

Publications and seminars landing page

Slaughter and May - Selmin Hakki

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Filed under

  • European Union
  • United Kingdom
  • Banking
  • Capital Markets
  • Insurance
  • Litigation
  • Public
  • White Collar Crime
  • Slaughter and May

Topics

  • Brexit
  • MiFID

Laws

  • Solvency II Directive (2009/138) (EU)

Organisations

  • Financial Conduct Authority (UK)
  • European Commission
  • European Banking Authority
  • UK Prudential Regulatory Authority
  • ESMA
  • European Central Bank

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