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Results: 1-10 of 4,424

Council publishes new CSD regulation compromise text
  • Dentons
  • European Union
  • September 13 2013

The Council has published the compromise text of the Regulation on Central Securities Depositories (CSD) that its Presidency tabled for discussion on


Financial Regulatory Developments 3rd January - HM Treasury (Treasury)
  • Dentons
  • United Kingdom
  • January 3 2014

Treasury has confirmed that any authorised firm that has applied for AIFM permission before 22 July 2014 will be able to carry on its business


Financial Regulatory Developments 3rd January - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • January 3 2014

FCA has fined JLT Specialty Limited £1,876,000 for failing to have in place appropriate checks and controls to guard against the risk of bribery or


Financial Regulatory Developments 3rd January - European Commission (Commission)
  • Dentons
  • European Union
  • January 3 2014

The Commission has adopted a delegated Regulation under the Alternative Investment Fund Managers Directive (AIFMD). The legislation sets out the


Financial Regulatory Developments 3rd January - Prudential Regulation Authority (PRA)
  • Dentons
  • United Kingdom
  • January 3 2014

PRA has published its feedback statement and final form rules on its implementation of CRD 4. These rules are the first that PRA has made under


Financial Regulatory Developments 3rd January - European Securities and Markets Authority (ESMA)
  • Dentons
  • European Union
  • January 3 2014

ESMA has updated its Q&As on EMIR to address the firms covered, and the scope and content of reporting, for on-exchange derivatives. ESMA concludes


Financial Regulatory Developments 3rd January - International Organisation of Securities Commissions (IOSCO)
  • Dentons
  • Global
  • January 3 2014

IOSCO is consulting on the assessment methodology for the oversight expectations applicable to critical service providers. This complements the


EP endorses MAR
  • Dentons
  • European Union
  • September 13 2013

EP has approved the political agreement it reached with the Council on the Market Abuse Regulation (MAR). The final adoption of MAR will take place


FCA publishes Market Watch Newsletter
  • Dentons
  • United Kingdom
  • August 9 2013

FCA has published a new edition of Market Watch, its newsletter on market conduct and transaction reporting. It includes summaries of the recent


FCA publishes feedback on "journey" responses
  • Dentons
  • United Kingdom
  • August 9 2013

FCA has published its response to questions respondents raised on its "Journey to the FCA" document. Generally, respondents wanted to know more about