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1
UK Prudential Regulator Fines Senior Managers For Failing To Be Open And Cooperative
On November 7, 2018, the PRA announced that it has imposed financial penalties on two senior managers for failing to be open and cooperative about an enforcement action into the U.K
UK
21 Nov 2018
2
EU Supervisory Authority Will Extend Binary Options Ban Into 2019
On November 9, 2018, ESMA announced that it proposes to renew the prohibition on the marketing, distribution or sale of binary options to retail clients for a further three months from January 2, 2019
European Union
21 Nov 2018
3
Brexit Legislation Published Establishing A Temporary Permissions Regime For EEA Firms Passporting Into The UK
On November 6, 2018, the EEA Passport Rights (Amendment, etc., and Transitional Provisions) (EU Exit) Regulations 2018 were made on November 6, 2018.
European Union
21 Nov 2018
4
UK Legislation Published For Brexit On Bank Of England's Functions
On November 7, 2018, HM Treasury laid before Parliament the draft Bank of England (Amendment) (EU Exit) Regulations 2018, together with a draft explanatory memorandum.
European Union
21 Nov 2018
5
Bank Of England Provides Further Guidance On Settlement Finality Designation Post-Brexit
On 6 November, 2018, the BoE published the "Dear CEO" letter that it has sent to the Chief Executive Officers of EU CCPs, central securities depositaries and payment systems...
European Union
21 Nov 2018
6
UK Financial Regulators Issue Directions For Post-Brexit Temporary Permissions Regime
The FCA and the Prudential Regulation Authority issued Directions detailing how an EEA firm currently passporting into the U.K. should notify each of the regulators of the firm's intention to benefit
UK
20 Nov 2018
7
Proposed Exemption From The EU Clearing Obligation For OTC Derivatives Novated To EU Counterparties In Preparation For A ‘No Deal' Brexit
Proposed Exemption From The EU Clearing Obligation For OTC Derivatives Novated To EU Counterparties In Preparation For A ‘No Deal' Brexit
European Union
20 Nov 2018
8
Statement By EU Supervisory Authority Confirms No EU Transitional Measures For UK Credit Rating Agencies And Trade Repositories On A Hard Brexit
On November 9, 2018, the European Securities and Markets Authority issued a public statement urging customers of credit rating agencies and trade repositories to prepare for a "no deal" Brexit
European Union
20 Nov 2018
9
EU Legislation Published To Update Supervisory Reporting Requirements
A Commission Implementing Regulation supplementing the Capital Requirements Regulation has been published in the Official Journal of the European Union.
European Union
20 Nov 2018
10
Draft EU Guidelines On Supervisory Cooperation On Anti-Money Laundering And Countering The Financing Of Terrorism
On November 8, 2018, the Joint Committee of the European Supervisory Authorities launched a consultation on draft joint guidelines on the cooperation and information exchange between national...
European Union
20 Nov 2018
11
Financial Regulatory Developments Focus – Nov 15, 2018 Issue 45/2018
On November 8, 2018, the Joint Committee of the European Supervisory Authorities launched a consultation on draft joint guidelines on the cooperation and information exchange between national...
UK
20 Nov 2018
12
European Commission Adopts Revised Implementing Standards For Resolution Reporting
On October 29, 2018, the EBA announced that it acknowledged the European Commission's adoption of a draft Commission Implementing Regulation ...
European Union
19 Nov 2018
13
UK Competition Authority Consults On Draft Definitions In Investment Consultants Market Investigation
On November 2, 2018, the U.K. Competition and Markets Authority published a consultation entitled "Draft definitions of Investment Consultancy services and Fiduciary Management services ...
UK
14 Nov 2018
14
EU Authority Calls For Non-Enforcement Of Impending Clearing Obligation For Intragroup Transactions And Non- Financial Counterparties
On October 31, 2018, the European Securities and Markets Authority issued a statement on the impending clearing obligation under the European Market Infrastructure Regulation.
European Union
14 Nov 2018
15
UK Post-Brexit Legislation Published To Onshore The EU Payment Accounts Directive For Brexit
On October 31, 2018, HM Treasury published a draft of the Payment Accounts (Amendment) (EU Exit) Regulations 2018, along with explanatory information.
European Union
14 Nov 2018
16
UK Legislation Published To Preserve Settlement Finality Designation Post-Brexit
On October 31, 2018, HM Treasury published a draft of the Financial Markets and Insolvency (Amendment and Transitional Provision) (EU Exit) Regulations 2018.
European Union
14 Nov 2018
17
UK Regulator Highlights Role Of Remuneration Committee Chair As A Senior Manager
On November 1, 2018, the U.K. FCA published a letter (dated August 20, 2018) addressed to the Chair of the Remuneration Committee of banks and large investment firms ...
UK
14 Nov 2018
18
UK Legislation Published To Onshore The Eu Venture Capital Funds And Social Entrepreneurship Funds Regulations For Brexit
On October 31, 2018, HM Treasury published the draft Venture Capital Funds (Amendment) (EU Exit) Regulations 2018 and the draft Social Entrepreneurship Funds (Amendment) (EU Exit) Regulations 2018 ...
European Union
13 Nov 2018
19
UK Prudential Regulator Publishes Information Pack On Ring-Fencing Reporting Requirements
On October 31, 2018, the U.K. PRA published an information document entitled "Ring-fencing: Summary of regulatory reporting requirements."
UK
13 Nov 2018
20
UK Prudential Regulator Updates Approach Document On Banking Supervision
On October 31, 2018, the U.K. Prudential Regulation Authority published an updated version of its document entitled "The Prudential Regulatory Authority's approach to banking supervision."
UK
13 Nov 2018
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