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Showing 71 - 80 of 9422 matches filtered by 'Funds and asset management'

  • EC: Benchmarks Regulation - Delegated Regulations

    13/08/2021
    The following have been published in the Official Journal: (i) Commission Delegated Regulation (EU) 2021/1348 of 6 May 2021 supplementing the... Benchmarks Regulation with regard to regulatory technical standards specifying the criteria under which competent authorities may require changes to the compliance statement of non-significant benchmarks; (iii) Commission Delegated Regulation (EU) 2021/1349 of 6 May 2021 supplementing the Benchmarks Regulation with regard to regulatory technical standards specifying the criteria for the competent authorities’ compliance assessment regarding the mandatory administration of a critical benchmark, and (iii) Commission Delegated Regulation (EU) 2021/1350 of 6 May 2021 supplementing the Benchmarks Regulation with regard to regulatory technical standards specifying the requirements to ensure that an administrator’s governance arrangements are sufficiently robust. (iv) Commission Delegated Regulation (EU) 2021/1351 of 6 May 2021 supplementing the Benchmarks Regulation with regard to regulatory technical standards specifying the characteristics of the systems and controls for the identification and reporting of any conduct that may involve manipulation or attempted manipulation of a benchmark; and (v) Commission Delegated Regulation (EU) 2021/1352 of 6 May 2021 supplementing the Benchmarks Regulation with regard to regulatory technical standards specifying the conditions to ensure that the methodology for determining a benchmark complies with the quality requirements.
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  • EIOPA: Occupational pension statistics

    12/08/2021
    EIOPA has published its second set of quarterly comprehensive statistical information based on pensions data regulatory reporting.
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  • IOSCO: ETFS thematic note

    12/08/2021
    IOSCO’s thematic note looks at the behaviour of ETFs during the Covid-19 induced market stresses, drawing on market data and observations... gathered over the course of the first half of 2020.
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  • FCA: Cash shells and SPACs

    10/08/2021
    FCA has published this Primary Market Technical Note on cash shells and special purpose acquisition companies.
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  • FCA/PRA/SEC: MoU

    10/08/2021
    The regulators have published a MoU concerning consultation, cooperation and the exchange of information related to the supervision and oversight of... certain cross-border OTC derivatives entities in connection with the use of substituted compliance by such entities.
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  • FCA: Digital sandbox

    10/08/2021
    FCA has updated its webpage to include information on how to get involved. The application form will go live on... 6 September 2021. Further information on the application process is set to be published in the coming weeks.
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  • FSB: Workshop on compensation practices

    09/08/2021
    FSB has published a short summary note of discussions held on 18/19 May 2021 when it hosted an industry virtual ...workshop.
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  • FCA: CP21/26: A new UK prudential regime for MiFID investment firms

    06/08/2021
    FCA’s CP sets out its proposals with regard to: disclosures; own funds – excess drawings by partners and members; technical standards;... depositaries; the UK resolution regime; FCA’s new powers to impose obligations on non-authorised parent undertakings of FCA investment firms and scope to take enforcement action; applications/notifications, and consequential changes to the Handbook. Responses are required by 17 September 2021.
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