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Financial Regulation Weekly Bulletin - 28 November 2019

Slaughter and May

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European Union, United Kingdom November 28 2019

General

  • Protection of whistleblowers – EU Directive published in Official Journal
  • Approving financial promotions of unauthorised persons – FCA publishes new Guidance
  • Updated Financial Services Register – FCA publishes details

Banking and Finance

  • Global systemically important banks – FSB publishes 2019 list and Basel Committee publishes assessment methodology
  • Basel III – Basel Committee and BCG publish joint statement on proportionality
  • Sectoral countercyclical capital buffer – Basel Committee publishes guiding principles
  • Credit valuation adjustment risk framework – Basel Committee publishes Consultation Paper on revisions
  • Banking Union – Council of the EU publishes progress report
  • MREL and TLAC – EBA publishes consultation on draft ITS on disclosure and reporting requirements
  • ICT and security risk management – EBA publishes final Guidelines
  • Targeted review of internal models – ECB publishes interim update
  • Towards the retail payments of tomorrow: A European strategy – speech by Benoît Cœuré, Member of the Executive Board of the ECB
  • Retail Banking Market Investigation Order 2017 – CMA revokes Directions
  • Authorised Push Payment Scams Voluntary Code – signatories to continue funding until end of March 2020

Securities and Markets

  • Non-centrally cleared SFTs – FSB publishes revised regulatory framework for haircuts
  • FCA Policy Statement PS19/28: Proxy Advisors (Shareholders’ Rights) Regulations Implementation (DEPP and EG)
  • FCA Guidance Consultation GC19/5: Primary Market Bulletin No. 25

Insurance

  • Updated supervisory material and revised ICP 22 on AML – IAIS publishes comments and feedback to consultation
  • IDD – Delegated Regulation published in the Official Journal
  • IDD – FCA publishes ‘general good’ requirements for incoming passporting firms

Enforcement

  • Failures in regulatory reporting governance and controls – PRA issues combined financial penalty of £44 million
  • Marketing of speculative mini-bonds to retail investors – FCA publishes temporary product intervention measures

Contacts

Selmin Hakki (professional support lawyer)

Publications and seminars landing page

Slaughter and May - Selmin Hakki

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Filed under

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  • Slaughter and May

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  • Competition and Markets Authority (UK)

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