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Showing 1 - 10 of 546 matches filtered by 'Securities and derivatives'

  • Brexit update for financial services firms from 2 November 2019 to 15 November 2019

    Brexit: Doing Insurance business in France post exit day On 31 October 2019 EIOPA published Member State responses to its February 2019 ‘Recommendations for the insurance sector in light of the United Kingdom withdrawing from the European Union’. ACPR, the French regulator has indicated that it does not intend to comply with these recommendations. For full details see our RegZone report here.
  • EMIR Initial Margin: Intragroup transactions exemptions

    As derivative counterparties begin to look ahead to the implementation of Phase 5 and 6 of the EMIR initial margin rules in September 2020 and 2021 (respectively), there are a number of exemptions in relation to transactions entered into with an undertaking within the same “group” that may be relevant. Such exemptions remove the requirement to exchange initial margin amongst counterparties in the same...
  • Brexit update for financial services firms - from 26 October 2019 to 1 November 2019

    This week put Brexit preparations on the back-burner as the Article 50 exit date was put back and the ratification of the revised Withdrawal Agreement (“WA”) by the UK Parliament was abandoned in favour of a general election. We will therefore be pausing our weekly email commentary until the New Year. The Article 50 extension (see Document 5 below) delays the UK's exit until 11.00 pm GMT on 31st...
  • Brexit news for financial services firms -from 28 September 2019 to 4 October 2019

    RegZone reporting on Brexit for financial services firms Until May of this year, RegZone published a weekly email update with Brexit news and commentary. Over the summer we have produced a fortnightly Brexit news report which was on the RegZone website (but not sent out by email). You can access the previous reports here. As promised, we are now reverting to a weekly commentary distributed by emai...
  • SMCR and regulatory references- what can solo regulated firms learn from the banking sector?

    Three years have passed since the banking sector implemented the Senior Managers & Certification Regime (SMCR) and two years since the regulatory references regime came into force.  From 9 December 2019, solo regulated firms will also become subject to these rules.  Can any lessons can be learned from the banking sector’s bedding in period? 
  • Brexit news for financial services firms - from 3 August 2019 to 16 August 2019

    HoC: Brexit and financial services HoC has updated its Library briefing paper which considers equivalence and the potential impact of no-deal Brexit on the sector.
  • Brexit news for financial services firms-from 20 July 2019 to 2 August 2019

    EC: EQUIVALENCE IN THE AREA OF FINANCIAL SERVICES The EC has set out its approach on equivalence and on recent legislative improvements in terms of how it grants equivalence to non-EU countries. It also describes how the EC and ESAs monitor the situation in those countries after equivalence decisions have been taken and how recent EU legislative changes have strengthened the equivalence framework....
  • FCA Publishes Finalised Guidance on Cryptoassets

    On 31 July 2019, the UK’s Financial Conduct Authority (the “FCA”) released policy statement PS19/22 : Guidance on Cryptoassets setting out the FCA’s final guidance on cryptoassets and their treatment within the FCA’s regulatory remit (the “Guidance”).  The Guidance follows the consultation paper CP19/3 (see our previous article from February 2019) released in January and the Cryptoassets Taskforce’s...
  • Brexit news for financial services firms - from 10 June 2019 to 21 June 2019

    PRA:PS5/19 THE BANK OF ENGLAND'S AMENDMENTS TO FINANCIAL SERVICES LEGISLATION UNDER THE EUROPEAN UNION (WITHDRAWAL) ACT 2018 An updated version of this PS has been published. The updated version can be found here.
  • Brexit news for financial services firms - from 25 May 2019 to 7 June 2019

    1. FCA/AFM: JOINT AGREEMENT FCA and the Dutch Authority for the Financial Markets (AFM) met on 3 June 2019 and have signed a joint agreement of cooperation (the text of which has not been published). FCA notes that, in addition to building cooperation and information sharing post-Brexit, the agreement also ...