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Results:1-10 of 26

Financial Regulatory Developments 19 June - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • June 19 2015

FCA's latest policy development update promises, by the end of the summer: a policy statement on fees; a consultation paper on fair, reasonable and


FCA takes action for misleading investors
  • Dentons
  • United Kingdom
  • October 11 2013

FCA has taken action against Catalyst Investment Group Limited and a number of its key individuals for recklessly misleading investors when promoting


ESMA stakeholder group advises on AiFMD Level 2
  • Dentons
  • European Union
  • November 4 2011

ESMA’s Securities and Markets Stakeholder Group has published its advice on ESMA's draft technical advice to the Commission on possible implementing measures of the Alternative Investment Fund Managers Directive (AIFMD) in relation to supervision and third countries.


Commission presents MiFID 2 and MiFIR
  • Dentons
  • European Union
  • October 21 2011

The Commission presented its proposals for the revision of MiFID (MiFID 2) on 20 October.


ESMA speaks on regulation
  • Dentons
  • European Union
  • October 14 2011

Verena Ross spoke to the City of London Brussels Annual Reception on the changes to the EU supervisory structure and the powers of the European Supervisory Authorities.


EFAMA responds on AIFMD level
  • Dentons
  • European Union
  • September 30 2011

EFAMA's response to ESMA's second consultation on implementing measures for the AIFMD also stresses that ESMA should not go beyond the Level 1 text, as to do so risks undermining it.


MFA responds on AIFMD Level 2
  • Dentons
  • European Union
  • September 23 2011

MFA's response to ESMA's consultation on AIFMD Level 2 focuses on the need for ESMA to appreciate the difference between AIFs and UCITS and to provide the appropriate degree of investor protection.


EFAMA responds on AIFMD Level 2
  • Dentons
  • European Union
  • September 23 2011

EFAMA is pleased ESMA has tried to be consistent with other Directives when drafting its advice on AIFMD Level 2.


FSA publishes quarterly consultation
  • Dentons
  • United Kingdom
  • September 9 2011

FSA’s latest quarterly consultation includes proposals to amend the Senior Management Arrangements, Systems and Controls sourcebook (SYSC) to require financial conglomerates to include recovery and resolution arrangements and plans within their risk management process.


BBA blog looks at ICB work
  • Dentons
  • United Kingdom
  • September 2 2011

In a blog on BBA’s website, Angela Knight looks at the work of the Independent Commission on Banking.