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  • ESMA: Short Selling Regulation

    04/10/2012
    ESMA has published a list of exempted shares according to Regulation.
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  • EC: Consultation on the recommendations of the high-level expert group on reforming the structure of the EU banking sector

    03/10/2012
    The EC has announced a consultation into the Liikanen review – responses are required by 13 November 2012.
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  • EIOPA: Risk dashboard

    03/10/2012
    In this document, EIOPA sets out what it believes to be the main systemic risks and vulnerabilities faced by the European... insurance industry over the coming quarters. These include: macro risks / political uncertainty; credit and market risk; interconnectedness with the banking sector and stabilisation in life insurance business.
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  • EBA: Final report on the implementation of capital plans following EBA’s 2011 recommendation on the creation of temporary capital buffers to restore market confidence

    03/10/2012
    EBA has published the final report on its EU-wide recapitalisation exercise and the data on all individual banks. Overall, the exercise... led to an increase of banks’ capital positions of more than €200bn. 27 banks with an initial shortfall that submitted capital plans have strengthened their capital position by €116bn. EBA has underlined the need for banks to maintain their capital levels in view of the implementation of the new regulatory framework. In this respect, EBA will adopt a new recommendation on capital conservation once the final CRD IV/CRR text is agreed
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  • EC: Actions expected to be adopted in 2012

    03/10/2012
    The EC has published a revised version of this document in tabular format which sets out legislative and non-legislative proposals
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  • FSA/ Finanstilsynet and Danmarks Nationalbank/Finanssivalvonta/Suo men Pankki/Finansinspektionen/Sveriges Riksbank: MoU

    03/10/2012
    This MoU sets out how the parties will cooperate in relation to the supervision of clearing service providers in Denmark, Finland... and Sweden..
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  • OFT Guidelines on investigation of mortgage cases of interest or concern to FSA and other prosecuting and investigating agencies

    03/10/2012
    These guidelines have been agreed by OFT, FSA, the Local Authorities Coordinating Body on Food and Trading Standards on behalf of... the local trading standards authorities; and the Trading Standards Service of the Department of Enterprise, Trade and Investment for Northern Ireland. They are intended to assist the agencies when considering cases concerning suspected criminal breaches and/or regulatory misconduct in relation to mortgages that are, or may be, of mutual interest to one or more of the agencies. The guidelines set out broad principles which the agencies agree should be applied by them, where appropriate, in order to assist them to: decide which of them should investigate such cases; co-operate with each other, particularly in cases where more than one agency is investigating; prevent undue duplication of effort by reason of the involvement of more than one agency; and prevent the subjects of proceedings being treated unfairly by reason of the unwarranted involvement of more than one agency.
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  • BIS: Speech by Jaime Caruana: Dealing with financial systemic risk: the contribution of macroprudential policies (28 September 2012)

    03/10/2012
    Text of the above, given at the Central Bank of Turkey/G20 Conference on "Financial systemic risk", Istanbul, 27-28 September 2012, follows.... He discusses how macroprudential policies can contribute to dealing with systemic risk and fostering financial stability and highlights key issues that should be focused on
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  • FSA: Financial Crime Newsletter 16

    03/10/2012
    Topics include: anti-bribery and corruption systems and controls in investment banks; banks’ defences against investment fraud; recent enforcement cases and speeches;... financial crime supervision; financial crime guide for firms; sanctions reporting; thematic work and safe custody services.
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  • FSA: CP12/26**: Regulatory reform: the PRA and FCA regimes for Approved Persons

    03/10/2012
    This paper consults on certain proposed changes to existing regulatory rules and guidance relating to approved persons and has been prepared... in consultation with BoE. In the light of the Financial Services Bill, this CP set out changes to the current FSA regime that seek to make it fit for purpose for PRA and FCA, including amendments required as part of the creation of the PRA and FCA Handbooks.The main aspects of change are: a split of the current list of controlled functions for firms regulated by both PRA and FCA, seeking to minimise unnecessary duplication for dual-regulated firms (something required by the Financial Services Bill); and an extension of the Statements of Principle in APER to a wider set of activities, and their application to people approved by either regulator – meaning that both regulators will have the ability to discipline certain categories of approved person. Chapter 3 of the CP sets out specific handbook rule and guidance changes related to controlled functions that will affect (i) dual-regulated firms and (ii) firms that will be regulated by FCA only. This chapter also covers the procedural changes that are resulting from the creation of two regulators. Chapter 4 explains changes to APER, which notes an increase in the coverage of the activities APER applies to for both PRA and FCA. Both regulators are proposing a similar approach to APER and this is reflected in the joint text. Draft Handbook text appears in Appendix 1 and Appendix 2 explains how the Handbook provisions will be designated between PRA and FCA. Responses should be received by 7 December 2012.
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