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  • EC: ESFS reform

    02/12/2019
    In what it describes as a first fundamental review of the functioning of the European system of financial supervision, the Council... has published adopted texts which comprise a regulation amending the ESAs (it is noted that provisions reinforcing EBA’s role concerning risks posed to the financial sector by money laundering activities are included), a Regulation amending ESRB and a Directive amending MiFID/Solvency II. It is stated that the set will be signed on 18 December 2019 and published in the Official Journal by the end of the year.
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  • FCA: New form for MIFID investment firms

    02/12/2019
    FCA advises that MIFID investment firms will need to use a new form to notify it of management body changes for... Non-SMF Directors from 9 December 2019. The form may be previewed via the following link.
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  • EIOPA: PEPP consultation

    02/12/2019
    EIOPA is consulting on the proposed approaches and considerations for EIOPA’s technical advice and implementing and regulatory technical standards under the... PEPP Regulation. The supporting documentation includes PEP KID illustrative examples. Responses are required by 2 March 2020.
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  • ESMA: CRA market share calculation

    29/11/2019
    ESMA has published its annual market share calculation for EU registered credit rating agencies for 2019. It notes that the... three largest agencies account for 92.1% of the market for credit rating agencies in the EU, a 2.7% increase on 2018.
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  • ESMA: Alignment of MiFIR with the changes introduced by EMIR Refit

    29/11/2019
    Further to its October 2019 consultation, ESMA has published the responses, which are available to download individually via the following ...link.
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  • FCA: CP19/31: Extending the Senior Managers Regime to benchmark administrators

    29/11/2019
    This CP proposes that all benchmark administrators are automatically classified as “Core” firms under the regime which means that they will... have to apply up to four SMFs and allocate two prescribed responsibilities to the relevant senior managers. Benchmark administrators will be able to use FCA’s existing waiver process to apply for “limited scope’” categorisation if appropriate, but the conduct rules will apply to almost both categories of benchmark administrators, but FCA is proposing to tailor the conduct rules for certain commodity benchmark administrators. FCA is not proposing to apply the certification regime to benchmark administrators. Responses to the consultation are required by 28 February 2020. FCA intends that SMR for benchmark administrators will come into force on 7 December 2020.
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  • BIS: The capital buffers in Basel III

    29/11/2019
    This Financial Stability Institute document provides an executive summary.
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  • FMLC: ESMA MAR consultation

    29/11/2019
    FMLC has published the text of its response to ESMA’s October 2019 consultation which argues that the definition of “inside information”... should not be amended and considers whether spot FX contracts should be brought within the scope of MAR.
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  • EC: Delegated Regulations in relation to the Securitisations Regulation

    29/11/2019
    The following have been adopted by the EC: Commission Delegated Regulation (EU) of 29.11.2019 supplementing the Securitisations Regulation with regard to... regulatory technical standards on securitisation repository operational standards for data collection, aggregation, comparison, access and verification of completeness and consistency and Commission Delegated Regulation (EU) of 29.11.19 supplementing the Securitisation Regulation with regard to regulatory technical standards specifying the details of the application for registration of a securitisation repository and the details of the simplified application for an extension of registration of a trade repository.
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