News

Search Filters

Advanced Search Advanced Search
Date range:

Showing 141 - 150 of 9426 matches filtered by 'Funds and asset management'

  • PRA: Exclusion from identification as material risk takers

    26/07/2021
    PRA is offering a modification for CRR firms to exclude (from identification as material risk takers) employees who meet the pay... based criteria but are deemed not to have a material impact on the firm’s risk profile, if they choose to do so.
    Show more Show less
  • EC: Public-private partners in the area of AML/CTF

    26/07/2021
    The EC is consulting on a roadmap with regard to guidance on the rules applicable to the use of public-private partnerships... in the framework of preventing and fighting money laundering and terrorist financing. Responses are required by 20 August 2021.
    Support Information
    Show more Show less
  • FCA: Handbook Notice 90/Instruments

    26/07/2021
    FCA has published details of instruments passed at its Board meetings on 24 June 2021 (additional) and on 22 July 2021.... These are: FCA Standards Instrument; The Technical Standards (Bilateral Margining) Instrument 2021/21; Periodic Fees (2021/2022) and Other Fees Instrument 2021/22; Fees (Miscellaneous Amendments) (No 16) Instrument 2021/23; Funeral Plans Instrument 2021/26 (FOS 2021/4); Fees (Pre-Paid Funeral Plans) Instrument 2021/27; Fees and Decision-Making (Cancellation of Permission) Instrument 2021/28; Insurance Distribution (Professional Indemnity Insurance (Limits of Indemnity) Instrument 2021/30 and Consumer Credit (High-Cost Short-Term Credit Refinancing and Peer-to-Peer Lending Information sheets) Instrument 2021/31. Instruments may be downloaded via the second link.
    Support Information
    Show more Show less
  • EBA: Shadow banking entities

    26/07/2021
    EBA is consulting on draft regulatory technical standards concerning the criteria for the identification of shadow banking entities. Responses are... required by 26 October 2021.
    Support Information
    Show more Show less
  • FOS: Independent Review

    26/07/2021
    FOS has announced that an independent external review of its service has been commissioned. The first phase of the review... will look at the current operational effectiveness of the service. The second phase of the review will consider the key changes in the external landscape and how FOS must adapt to meet its current and future challenges.
    Support Information
    Show more Show less
  • FCA: Platforms portfolio strategy update

    26/07/2021
    Further to its letter of 6 February 2020, this “Dear CEO” letter updates relevant firms on FCA’s areas of focus over... the coming months. These include: technology/operational resilience; transfer times and SUP 15 notification requirements.
    Support Information
    Show more Show less
  • ESMA: SFDR Q&As

    26/07/2021
    ESMA has published a letter to the EC along with answers from the Commission Decision adopted on 6 July 2021 relating... to SFDR.
    Support Information
    Show more Show less
  • ESMA: Information regarding regulatory technical standards under SFDR

    26/07/2021
    ESMA has published the text of a letter sent to the EC which notifies of its intention to bundle 13 regulatory... technical standards in a single delegated act and defer the dates of application of 1 January 2022 by six months to 1 July 2022.
    Support Information
    Show more Show less
  • EC The functioning of the EU securitisation framework

    26/07/2021
    The EC’s consultation seeks feedback on issues relating to the Securitisation Regulation. Responses are required by 17 September 2021.
    Support Information
    Show more Show less
  • BoE: Consultation: Approach to setting a minimum requirement for own funds and eligible liabilities (MREL)

    22/07/2021
    The consultation paper is the second part of the BoE's review of its MREL framework, following its December 2020 discussion paper.... Deadline for responses is 1 October 2021.
    Support Information
    Show more Show less