Mondaq UK: Finance and Banking
Dentons
On 26 October 2017, the European Parliament approved the Securitisation Regulation, which contains significant changes to the current securitisation regulatory framework.
Womble Bond Dickinson
The Commission has recognised a number of trading venues in the US, Australia and Hong Kong as equivalent for the purposes of the MiFID 2/ MiFIR share trading obligation.
Womble Bond Dickinson
EBA has published its final guidelines on security measures for operational and security risks of payment services required by PSD2.
Deloitte
On 23 November, the FCA published a report on the compliance function in wholesale banks. In January this year, the FCA sent a questionnaire to 22 wholesale banks ...
Travers Smith LLP
On 13 December 2017, the FCA published a package of consultation papers (the December CPs) as part of its proposals for extending the Senior Managers & Certification Regime (SMCR) to all FCA firms.
Norton Rose Fulbright Canada LLP
There has been published on the legislation.gov.uk website, The Financial Services and Markets Act 2000 (FSMA 2000) (Markets in Financial Instruments) (No 2) Regulations 2017 (the Regulations).
Womble Bond Dickinson
UK Finance has published guidance for firms on product governance and retail costs and charges under MiFID 2.
Baker & McKenzie
A significant change in UK banking is coming. From 13 January 2018, for the first time banks will be required to open up customer data to third party providers.
Boccadutri International Law Firm
From January binary options in the United Kingdom will be officially considered a financial service and no longer a branch of gambling.
Pinsent Masons LLP
Plans for transitioning thousands of insurers and regulated financial firms and their staff to a new accountability regime have been published by the UK regulators.
Womble Bond Dickinson
FCA has written a Dear CEO letter, expressing its concerns on the continued practice of "payment for order flow".
Brodies LLP
Real estate investment trusts (REITs) are tax efficient property investment vehicles. They are common in the commercial property investment market ...
Womble Bond Dickinson
FCA is consulting on how firms and individuals will manage the transition to the extended SMCR.
Dentons
Amending guaranteed obligations without killing the guarantee is tricky. The notorious decision in Triodos v. Dobbs [2005] All ER 364 (and related cases) often makes it unwise just to rely ...
Dentons
Andrew Bailey, chief executive of the FCA, announced on 27 July 2017 that the FCA would no longer use its influence or legal powers to persuade or compel LIBOR panel banks ...
Dentons
The UK persons with significant control regime (the PSC Regime) continues to cause uncertainty for lenders seeking to take security over shares in Scottish companies.
Dentons
The green bond market has been the subject of many capital markets headlines this year, from the first issue of green bonds by France, with a record €7 billion sale, at the start of the year...
Womble Bond Dickinson
a reminder that an investment firm's transaction report must reflect the transaction from its own perspective...
Cadwalader, Wickersham & Taft LLP
The UK FCA will not require firms to continue putting processes in place to exchange VM for physically settled FX forwards in preparation for the January 3, 2018 MiFID II applicability date.
Womble Bond Dickinson
FCA has published its final rules to require personal and business current account providers to publish information that will help comparison of services from different providers.
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Pinsent Masons LLP
Financial technology (fintech) will be banned from using software to 'scrape' data held by banks to provide services to their customers under new regulatory technical standards (RTS) in Europe.
Holman Fenwick Willan LLP
The challenge is by now familiar: the UK is set to leave the EU in March 2019 and the nature and impact of Brexit still remains unclear.
Boccadutri International Law Firm
From January binary options in the United Kingdom will be officially considered a financial service and no longer a branch of gambling.
Pinsent Masons LLP
Open Banking provides great opportunities for all sorts of businesses, including existing banks and fintechs, to innovate, strengthen customer relationships, and gain a share of new emerging financial product and service markets.
Deloitte
On 23 November, the FCA published a report on the compliance function in wholesale banks. In January this year, the FCA sent a questionnaire to 22 wholesale banks ...
Deloitte
The European Commission's Regulation on indices used as financial benchmarks in financial instruments and financial contracts (the Regulation) goes live on 1 January 2018.
Pinsent Masons LLP
The FCA has updated its page on the Fund Objectives Working Group [23.11.2017]. In the Asset Management Market Study (read more here) one area identified for further review was how useful fund objectives are for investors.
Pinsent Masons LLP
Italian life insurer Intesa Sanpaolo Life dac (Intesa) has been fined €1 million by the Irish insurance regulator for anti-money laundering and terrorist financing compliance failures.
Rahman Ravelli Solicitors
A hacker's best friend – Bitcoin and digital fraud
Womble Bond Dickinson
The European Central Bank has announced the approval of the consolidation of the Eurosystem's real-gross settlement system TARGET2 and the securities settlement system platform T2S, as well as the development of a ECMS.
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