Welcome to RegZone

The clearer view on financial services regulation

RegZone provides you with expert analysis and daily news from the fast-changing world of European financial institution regulation.  Created by CMS regulatory lawyers for those working in banking and finance, insurance, funds and asset management and securities and derivatives.  Sign up here for events, news digest and alerts (relevant to your areas of interest).

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Latest Reports

  • City, London

    On 5 July 2016 we held our webinar 'Helping Financial Institutions deal with Brexit - perspectives from London and Frankfurt', delivered by (CMS UK) Simon Morris, Will Dibble; and (CMS Germany) Joachim Kaetzler. The recording is available to view and/or download to your mobile device. The speakers addressed the key ...

  • Canary Wharf, London

    On 7 July 2016, the Financial Conduct Authority (FCA) published its finalised guidance, “FG16/5 - Guidance for firms outsourcing to the ‘cloud’ and other third-party IT services”. The Guidance aims to clarify the requirements on firms when outsourcing to the cloud and other third-party IT service providers. It is intended ...

  • City, London

    The Forum has released its draft strategy on the future of payment systems in the UK (Draft Strategy, consultation details here). It proposes various short, medium and long term changes aimed at creating systems which are: responsive to the needs of current and future users, including those who are more ...

  • European Parliament, Strasbourg

    ESMA has published its advice to the European Parliament, the Council and the Commission on the application of the AIFMD Passport to non-EU (“third country”) AIFMs and AIFs. The ESMA advice is of particular interest to the UK, which may or may not become a “third country” for AIFMD purposes ...

  • BaFin established – with effect from 2 July 2016 – a central platform where whistleblowers can report infringements of regulatory provisions. The protection of whistleblowers’ anonymity is a top priority for BaFin. As whistleblowers are considered to be very important in order to identify violations of supervisory regulations, BaFin now ...

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Upcoming events

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RegZone Toolkit

New to RegZone are customised research tools, designed by CMS lawyers, allowing you to search RegZone databases for quick queries and detailed analysis on regulatory reform, regulators and other agencies, timelines, jargon and more.

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Future Dates

* Estimated date

  • *Mid-2016

    PRA intends to publish: a policy statement setting out feedback to CP37/15; final versions of the Ring-fenced Bodies Part of the Rulebook; a supervisory statement on RFBs; and a new CP on reporting requirements regarding ring-fencing.

  • 17 August 2016

    Deadline for responses to PRA consultation CP 22/16: 'Solvency II: Monitoring model drift and standard formula SCR reporting for firms with an approved internal model'.

  • *Summer 2016

    The FCA aims to publish preliminary results of the Asset Management Market Study.

News Wizard

  • 22/07/2016

    The Pensions Regulator4: 21st century trusteeship and governance

    The Pensions Regulator4: 21st century trusteeship and governance
    News Date:
    22/07/2016
    News Text:
    The Pensions Regulator has published a discussion paper which both looks at its work in supporting trustees of DB and DC schemes, and considers what more could be done by both by the regulator and the wider industry in support of raising governance standards. Reponses are required by 9 September 2016.
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  • 22/07/2016

    HoL European Scrutiny Committee: Scrutinising Brexit: the role of Parliament

    HoL European Scrutiny Committee: Scrutinising Brexit: the role of Parliament
    News Date:
    22/07/2016
    News Text:
    The Committee’s report states that all aspects of the negotiations on the UK withdrawal from the EU, including trade negotiations, should be effectively scrutinised by Parliament.
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  • 22/07/2016

    HMT: Financial services mis-selling

    HMT: Financial services mis-selling
    News Date:
    22/07/2016
    News Text:
    HMT has published a document containing responses to various HoC Public Accounts Committee reports, including its May 2016 report on financial services mis-selling. HMT accepts most of the recommendations, but disagrees with the proposal that HMT and FCA should develop “real-time” indicators of the extent of mis-selling, and as...
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  • 22/07/2016

    HoL Select Committee on Financial Exclusion: What can be done to help tackle financial exclusion?

    HoL Select Committee on Financial Exclusion: What can be done to help tackle financial exclusion?
    News Date:
    22/07/2016
    News Text:
    The Committee has published a call for evidence. Responses are required by 14 September 2016.
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  • 22/07/2016

    ESMA: Fitch Ratings Limited

    ESMA: Fitch Ratings Limited
    News Date:
    22/07/2016
    News Text:
    ESMA has fined the firm a total of €1.38 m for what it describes as “negligent breaches” of the Credit Rating Agencies Regulation. It is noted that ESMA;s investigation followed a review of the sovereign rating processes carried out by agencies during 2013.
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