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Showing 161 - 170 of 9426 matches filtered by 'Funds and asset management'

  • ESMA: Benchmarks Regulation

    16/07/2021
    ESMA has updated its Q&A document.
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  • EC: PRIIPs Regulation

    16/07/2021
    The EC is consulting on proposed changes to the Regulation with regard the extension of the transitional arrangement for management companies,... investment companies and persons advising on, or selling UCITS and non-UCITS. Responses must be received by 9 September 2021.
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  • EC: Short Selling Regulation

    16/07/2021
    The EC is consulting on a Delegated Regulation on the adjustment of the threshold for the notification of significant net short... positions in shares. Responses are required by 12 August 2021.
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  • EC: MiFID Delegated Regulation

    16/07/2021
    The EC has adopted a Delegated Regulation in relation to MiFID concerning the criteria for establishing when an activity is to... be considered to be ancillary to the main business at group level.
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  • FCA: Business Plan 2021/22

    15/07/2021
    The Business Plan sets out the key areas of focus for the FCA in the coming year. These include: financial... promotions; the new consumer duty; pensions advice; action on scams; LIBOR transition; post-Brexit developments and ESG. FCA has also announced that it will begin a review of aspects of the rules on the scope and coverage of FSCS payouts for specific regulated activities and will be consulting on changes to the RDC’s role with the aim of streamlining decision making on authorisation applications and specific supervisory and enforcement decisions.
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  • FCA: Annual Report & Accounts 2020/21

    15/07/2021
    FCA has published its Annual Report and Accounts for 2020/21, which sets out details of its work over the past year.... FCA has also published annual report on diversity, implementing the recommendations from the independent reviews; enforcement data; investment management data; pay gap data; market cleanliness statistics, services standards and trade transparency/market liquidity data. All may be downloaded individually via the first link below.
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  • FCA: Speech by Nikhil Rathi: Transforming to a forward-looking, proactive regulator

    15/07/2021
    Alongside the launch of FCA’s Business Plan and Annual Report on 15 July 2021, Nikhil Rathi’s speech discusses FCA’s role and... future plans for the transformation of FCA which concludes that the regulator “must become even more innovative to fully capitalise on data and technology; even more assertive to ensure consumer protection and market integrity; and even more adaptive to meet the challenges we know about and prepare for those that will come”.
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  • ESMA: MAR guidelines

    15/07/2021
    ESMA is consulting on proposed changes to its guidelines on delayed disclosure of inside information under MAR with regard to interaction... with prudential supervision. Responses are required by 27 August 2021.
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  • ESMA: Supervisory measures and penalties under Articles 4, 9, 10 and 11 of EMIR

    15/07/2021
    ESMA has published its third annual report on supervisory measures and penalties, which notes an increase in the use of EMIR... data for supervisory purposes.
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