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Showing 101 - 110 of 9298 matches filtered by 'Funds and asset management'

  • EBA Supervision of investment firms

    05/07/2021
    EBA has published final draft regulatory technical standards and implementing technical standards on cooperation and information exchange between competent authorities involved... in prudential supervision of investment firms. These cover: (i) cooperation in the supervision of investment firm groups through colleges of supervisors and (ii) information exchange for investment firms operating within the EU through branches or the free provision of services.
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  • FCA: CP21/22: Primary market effectiveness

    05/07/2021
    FCA’s consultation sets out proposed reforms to improve the effectiveness of UK primary markets. These include: allowing a targeted form... of dual class share structures within the premium listing segment; reducing the amount of shares an issuer is required to have in public hands from 25% to 10% and increasing the minimum market capitalisation threshold for both the premium and standard listing segments for shares in ordinary commercial companies from £700,000 to £50m. FCA also seeks views on the overall structure of its listing regime and whether wider-reaching reforms could improve the longer-term effectiveness of the regime. Responses are required by 14 September 2021.
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  • FCA: Primary Market Bulletin 35

    02/07/2021
    This edition of the Bulletin sets out FCA’s guidance consultation and technical note with regard to assessing eligibility and listing applications... for companies with cannabis-related activities. The note is intended to provide a non-exhaustive guide to cases where the applicant for listing is carrying on a cannabis-related business. Responses are required by 12 August 2021.
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  • EBA: Guidelines on internal governance

    02/07/2021
    EBA has published revised guidelines on internal governance which take into account CRD V amendments and IFD with regard to credit... institutions’ sound and effective governance arrangements. The guidelines will apply from 31 December 2021.
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  • FCA/Gambling Commission: MoU

    02/07/2021
    This MoU sets out broad principles for collaboration and the legal framework governing the sharing of relevant information between the ...parties.
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  • ESMA/EBA: Joint guidelines on the assessment of the suitability of members of the management body and key function holders under CRD and MiFID

    02/07/2021
    The regulators have published their revised final joint Guidelines on the assessment of the suitability of members of the management body... and key function holders which take into account the amendments introduced by CRD V) and IFD, and their effect on the assessment of the suitability of members of the management body, in particular with regard to money laundering and financing terrorism risks, and gender diversity. The joint final Guidelines will apply from 31 December 2021.
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  • The Pensions Regulator: Annual DB schemes survey

    02/07/2021
    The Pensions Regulator reports on its annual survey of DB pension schemes which indicates that such schemes are not as prepared... as they should be and need to act ahead of upcoming regulations on climate change.
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  • FATF: Opportunities and challenges of new technologies for AML/CFT

    02/07/2021
    FATF’s report identifies emerging and available technology-based solutions. It highlights the necessary conditions, policies and practices that need to be in... place to successfully use these technologies to improve the efficiency and effectiveness of AML/CFT and challenges that could stand in the way of successful implementation of new technology.
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  • FATF: Stocktake on data pooling, collaborative analytics and data protection

    02/07/2021
    This report looks at commercially available or emerging technologies that facilitate advanced AML/CFT analytics within regulated entities as well as technologies... that allow collaborative analytics between financial institutions, while respecting national and international data privacy and protection legal frameworks.
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