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Showing 61 - 70 of 9422 matches filtered by 'Funds and asset management'

  • FCA: Regulation round-up

    19/08/2021
    The FCA has published its regulation round-up for August. It includes items on strong customer authentication, firm details and directory persons... and the FCA sustainable finance innovation programme, amongst others.
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  • ESMA: Final guidelines on the MiFID II/ MiFIR obligations on market data

    18/08/2021
    These guidelines apply from 1 January 2022. They do not apply to national competent authorities which are no longer responsible... for the supervision of approved publication arrangements and consolidated tape providers as of the date following that on which ESMA has taken over the supervision of those APAs and CTPs.
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  • FSB: Consultation on policy proposals to enhance money market fund resilience - responses

    18/08/2021
    Further to its June 2021 consultation, FSB has now published the responses, which may be downloaded individually via the following ...link.
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  • European Parliament: Report on the proposal for a Regulation on a pilot regime for market infrastructures based on distributed ledger technology

    17/08/2021
    The European Parliament has voted to adopt this report which contains a mark-up of suggested changes to the EC’s proposed ...Regulation.
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  • EBA: Resolution colleges

    17/08/2021
    EBA has published its annual report on resolution colleges which sets out the regulator’s observations on the functioning of colleges in... 2020 and the progress achieved in key areas of resolution planning. EBA highlights the effects of moving to a virtual set-up, noting that the enforced change was broadly successful, but also highlights areas for improvement to ensure that information exchange and coordination between members remains robust.
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  • FCA: Portfolio strategy letter: investment-based crowdfunding

    17/08/2021
    FCA’s “Dear CEO” letter of 2 July 2021 updates relevant firms on key risks it sees in the sector (inappropriate investments,... scams, appointed representatives oversights, disorderly firm failure). It also sets out FCA’s expectations of firms and a summary of work it intends to undertake.
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  • EC: IFD Delegated Regulations

    17/08/2021
    The EC has adopted two IFD related Delegated Regulations: (i) with regard to regulatory technical standards specifying the classes of instruments... that adequately reflect the credit quality of the investment firm as a going concern and possible alternative arrangements that are appropriate to be used for the purposes of variable remuneration, and (ii) with regard to regulatory technical standards specifying appropriate criteria to identify categories of staff whose professional activities have a material impact on the risk profile of an investment firm or of the assets that it manages.
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  • ESRB: A multi-level network approach to spillovers analysis

    16/08/2021
    This ESRB working papers analyses the interconnectedness between a macro-level network and a local-level network as applied to the Maltese domestic... investment funds sector. The report found that a high-level correlation between the domestic funds can transmit higher spillovers to the local stock exchange index and to the government bond secondary market prices.
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  • EC: BRRD Delegated Regulation

    16/08/2021
    Commission Delegated Regulation (EU) 2021/1340 of 22 April 2021 supplementing BRRD with regard to regulatory technical standards determining the content of... the contractual terms on recognition of resolution stay powers has been published in the Official Journal.
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  • ECB/SEC: MoU

    16/08/2021
    The ECB and SEC have signed an MoU to prepare for the registration of ECB-supervised entities as security- based swap dealers... or major security-based swap participants in the US.
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