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Financial Services Daily News: this month's daily news (last 30 days)

Tuesday, 30 September 2014
FCA Handbook Notice; FCA policy statement on regulatory reporting; The future of payment systems – speech by Hannah Nixon (PSR); FSB consults on cross-border recognition of resolution actions; BRRD - EBA consults on guidelines for recovery plan indicators; ESMA final report on draft RTS on major shareholdings; AIFMD– FCA guidelineson reporting transparency information; CRR – ESMA consults on draft ITS on definitions of main indices and recognised exchanges; MiFID – ESMA consults on guidelines on clarifying the definition of derivative; EBA publication of global systemically important institutions’ indicators; FCA charges former Morrison’s executive with insider dealing; MMF Regulation – indicative date for European Parliament plenary session; SSM - ECB publishes guide to banking supervision; Getting the right investor outcomes - speech by William Amos (FCA); IMD 2 - Council presidency compromise proposal; Now available through FSnet: Insurance and reinsurance news – September 2014 issue – Lending in the insurance market

Monday, 29 September 2014
UCITS V - ESMA draft technical advice on depositary function; ESMA consultation on technical advice of the Regulations on European Social Entrepreneurship Funds (EuSEF) and European Venture Capital Funds (EuVECA); EBA draft guidelines on payment commitments under the Deposit Guarantee Schemes Directive 2014/49/EU on deposit guarantee schemes; ESMA consults on draft RTS on prospectus-related issues under Omnibus II; CRD 4 - EBA single rulebook Q&As; ESRB response to ESMA paper on mandatory central clearing for OTC credit derivatives

Friday, 26 September 2014
BoE reports to HM Treasury its recommendations on additional financial benchmarks to be brought inside the UK regulatory scope; FCA consulting on the implementation of the Mortgage Credit Directive; BIS – banking supervisors and central bankers meet to discuss the post-crisis reform agenda; EBA publishes consultation on draft guidelines in relation to Article 4 and Article 4(7) of the BRRD; FCA publishes Regulation Round-up September 2014; Putting the right ideas into practice - speech by Mark Carney (BoE); Financial service complaints data

Thursday, 25 September 2014
CRD IV – PRA consults on its supervisory statement on compliance with EBA guidelines on disclosure of encumbered and unencumbered assets; FCA alerts financial advisers and investors to misselling of EEA Life Settlements Fund; G20 – FSB and IMF publish report to the G20 on the data gaps initiative on foreign currency exposures; ESMA publishes responses to second consultation paper on EMIR which looks at CDS classes that will be subject to Clearing Obligations; PRA issues interim clarifications on CRD firms’ Large Exposure reporting requirements under the CRR; BRRD – EBA publishes consultation paper on its draft guidelines on the minimum list of services or facilities that are necessary to enable a recipient to operate a business transferred to it under Article 65(5) of the BRRD; BRRD – EBA publishes consultation paper on its draft guidelines on liquidating assets under Article 42(14) and material threat to financial stability under Article 39(4) of the BRRD; BoE's Bailey wants better global coordination over bank fines

Wednesday, 24 September 2014
BRRD – EBA publishes final guidelines on institutional tests for extraordinary public support; FOS newsletter; BBA announces financial crime alert system; ESAs hearings before ECON Committee; BoE publishes cyber crime scenario exercise; CRD 4 - PRA clarification of completion of large exposure templates; IAIS publishes HLA principles for G-SIIs; Consultation on FATCA compliance for financial institutions in Singapore; FCA fines Barclays for failing to properly protect clients’ assets

Tuesday, 23 September 2014
FSB and OECD update the G20 on financial reform ahead of the G20 Brisbane Summit; BCBS updated FAQs on Basel III monitoring; ESAs update on risks and vulnerabilities in the EU financial system; BRRD - EBA consults on draft guidelines on triggers for use of early intervention measures; BRRD - EBA consults on draft guidelines on when an institution shall be considered as failing or likely to fail; ECB decision on the separation of monetary policy and supervision functions; CRD 4: PRA and FCA publish a joint consultation on data collection on remuneration practices; IAIS publishes Insurance Capital Standard principles; IAIS publishes revised draft on the common framework for the supervision of IAIGs; Now available through FSnet " The new regulatory regime for individuals" seminar materials

Monday, 22 September 2014
FSB report on aggregation of OTC derivatives TR data; Mortgage Credit Directive – Regulation containing RTS on the minimum monetary amount of professional indemnity insurance; FCA roundtable feedback on Project Innovate; EIOPA risk dashboard update; Court of Appeal upholds convictions in Innospec conspiracy case

Friday, 19 September 2014
FSB on global financial system vulnerabilities and plans for completing financial reform; FSB on information from individual jurisdictions on their deference frameworks; ASIC and MAS sign MoU on access to OTC derivatives TR data; APRA issues consultation on Basel III disclosure requirements

Thursday, 18 September 2014
IOSCO consults on risk mitigation standards for non-centrally cleared OTC derivatives; CRA 3 Regulation – ESMA revised technical advice on an EU creditworthiness assessment for sovereign debt; FRC updates UK Corporate Governance Code; Hong Kong SFC suspends responsible officer for sponsor failures; Market Abuse Conference

Wednesday, 17 September 2014
FSB update on financial regulatory factors affecting the supply of long-term investment finance; Regulation of high-frequency trading – FCA letter to House of Lords Committee; Financial adviser banned and fined £300,000; The new regulatory regime for individuals: FIG client seminar; Market Abuse Conference

Tuesday, 16 September 2014
BCBS updated FAQs on Basel III monitoring; BoE conference on monetary and financial law – report; The Financial Services (Banking Reform) Act 2013 (Commencement No.6) Order 2014; Confiscation orders of £3.2 million against 7 insider dealers; Solvency II – Tripartite data exchange template; Market Abuse Conference; Now available through FSnet: client briefing on “Coordinated EU and US sectoral sanctions on Russia and Russian persons”

Monday, 15 September 2014
Candidate Commissioners to appear before EP committees from 29 September; CRD 4 – EBA single rulebook Q&As; The challenge of implementing market regulations consistently at the global level – speech by Michel Barnier (European Commission); ECA report on European banking supervision; The new regulatory regime for individuals: FIG client seminar; Market Abuse Conference; Now available through FSnet: client briefing on “Coordinated EU and US sectoral sanctions on Russia and Russian persons”

Friday, 12 September 2014
Mission letter from Jean-Claude Juncker to Lord Hill; OTC derivatives regulators report to the G20; BCBS and EBA reports on Basel III monitoring results; FCA thematic review on mobile banking and payments; Insurance regulation and supervision – going global – speech by Gabriel Bernardino (EIOPA); Payments council report on current account switch service – one year progress; ECJ rejects General Court judgment relating to card payment system; ECJ dismisses MasterCard appeal; FCA on information about insurer authorisation process; Lloyd's updates performance management supplemental requirements and guidance

Thursday, 11 September 2014
European Commission – new appointments; Regulation on benchmarks – Council presidency compromise proposal; US Federal banking regulators adopt final rule on supplementary leverage ratio for large banking organisations; US Federal banking regulators finalise LCR for large banking organisations; The new regulatory regime for individuals: FIG client seminar

Wednesday, 10 September 2014
BCBS analysis of the trading book hypothetical portfolio exercise; IOSCO updates survey on commodity derivatives markets supervisory principles; AIFMD – FCA on additional AIF data items request; Requirements for SAR when seeking consent for a transaction; IAIS issues revised MMoU; IMD 2 – Council presidency compromise proposal

Tuesday, 9 September 2014
BCBS updated FAQs on Basel III monitoring; CRD 4 - Commission concerns regarding potential breach of EU law on bankers’ bonuses; Corrigendum to Amending Regulation on the powers of the ECB to impose sanctions in OJ; European Commission initiatives for 2014; ECB appoints members of the Administrative Board of Review; Singapore MAS consults on guidelines on outsourcing; Now available through FSnet: client briefing on “Bankers' bonus cap: ECJ hears the UK's legal challenge”

Monday, 8 September 2014
PRA’s final approach to supervising branches of non-EEA banks; CRR – ITS on appropriately diversified indices and corrigendum to RTS for non-delta risk of options in the standardised market risk approach in OJ; CRD 4 – EBA single rulebook Q&As; Mortgage Credit Directive – consultation on implementation; FCA quarterly consultation; The Consumer Credit (Information Requirements and Duration of Licences and Charges) (Amendment) Regulations 2014; FCA factsheets

Friday, 5 September 2014
ECB - final list of significant credit institutions; BCBS updated FAQs on Basel III monitoring; ESMA third risk dashboard for 2014 and second 2014 report on trends, risks and vulnerabilities in the EU; ESMA issues translations of guidelines on principles for FMIs in respect of CCPs; US Federal Reserve Board and the OCC re-propose margin rules for swaps; EMIR - FCA reports on compliance by NFCs in energy and oil sector; ECJ hearing on the UK government's legal challenge to CRD 4 bonus cap provisions; Protocol for the review of the FSA’s enforcement decision in relation to HBOS

Thursday, 4 September 2014
MiFID 2 - ESMA stakeholders group comments on level 2 proposals; Joint Forum report on supervisory colleges for financial conglomerates; Countdown to November: European supervision ready for lift-off - speech by Sabine Lautenschläger (ECB); FOS updates online technical resource on legal expenses insurance; EBA adopts procedures for investigating breaches of EU law

Wednesday, 3 September 2014
ESRB Recommendation on guidance for setting CCB rates in OJ; PRA issues cost benefit analysis of the new regime for individual accountability and remuneration; Shanghai-Hong Kong Stock Connect - Draft amendments to the rules of the Hong Kong Stock Exchange and the central clearing and settlement system; Symposium on economic crime - speech by David Green (SFO)

Tuesday, 2 September 2014
CPSS renamed CPMI and given new charter; Joint Cybercrime Action Taskforce launched; APRA consults on amendments to liquidity standard and reporting instructions for banks

Monday, 1 September 2014
CRD 4 – EBA single rulebook Q&As; JMLSG final approved guidance on consumer credit providers; FCA bans and fines former director for promoting unregulated CIS; Solvency II - PRA update note on implementation; FCA thematic review findings on PPI complaints mis-sales

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