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Showing 9141 - 9150 of 10480 matches filtered by 'Funds and asset management'

  • PRA: Speech by Andrew Bailey: The state of the building society sector and the PRA’s approach to governance

    21/05/2015
    Text of the speech, given at the Building Societies Association Annual Conference on 21 May 2015, follows, in which Andrew Bailey... discusses the PRA’s view of the building society sector and provides an overview of the governance CP. Particular concerns with regard to IT systems risks are raised in the speech
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  • FCA Prudential Supervision Forum

    21/05/2015
    FCA held its first Prudential Supervision Forum on 13 May 2015 and has now published the text of Nausicaa Delfas’ keynote... speech (overview of the FCA prudential approach and its link to conduct supervision); slides from the liquidity adequacy and cash management, RRD and crisis management presentations as well as key discussion points from the operational risk panel session. All of these may be downloaded individually via the following link.
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  • ESMA: Response to the EC consultation on the Prospectus Directive

    21/05/2015
    In its response to the February 2015 paper, ESMA suggests an approach that facilitates easier access to capital, but mindful of... investor protection. It also suggests that the prospectus should be more comprehensible.
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  • ESMA: Investment-based crowdfunding

    21/05/2015
    ESMA has published the results of its December 2014 survey which analyses the regulatory status of regulated investment-based crowdfunding platforms... in the EU and the investment instruments, structures and remuneration models that those platforms are using.
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  • FCA: Service standards

    20/05/2015
    FCA has published its latest service standards report, coving authorisations and consumer credit; communications; complaints against FCA; listing; notifications; PSR and... e-money Regulations; regulatory decisions and customer satisfaction.
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  • PRA: PS9/15: Depositor and dormant account protection – further amendments

    20/05/2015
    Further to CP15/15, this PS sets out feedback and final rules to implement the proposals made. PRA states that there... are only minor changes to the original proposals and that further amendments to SS18/15 (second link below) were set out following requests for further clarification on PRA’s expectations. The rules come into force on 3 July 2015. PRA notes that it intends to undertake a further short consultation which will focus on clarifications and administrative amendment.
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  • EC/European Parliament: Money Laundering Directive/Wire Transfer Regulation

    20/05/2015
    The European Parliament has announced the adoption of the Directive and Regulation, particularly highlighting the new obligations for EU member states... to keep central registers of information on the ultimate beneficial owners of legal entities. The EC notes that publication in the Official Journal of the EU is due in June or July 2015 and that a process to guide Member States in implementing the Directive into national law will be put in place over the coming months.
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  • EBA: Guidance on the implementation of resolution tools

    20/05/2015
    EBA has published guidelines for competent authorities on the sale of business, asset separation and minimum list resolution tools. The... guidance will apply from 1 August 2015.
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  • FCA: Data Bulletin Issue 3

    19/05/2015
    Topics include: approved persons; skilled persons reports; use of attestations; service standards (FCA intends to publish more data on 20 May... 2015); FCA’s contact centre (including details on how consumer cases are progressed) and complaints about firms.
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  • FOS: Annual review for 2014/2015

    19/05/2015
    FOS has published this report, which provides details on its work over the year. It is noted that resolved 448,387... complaints over the period and that payday loan complaints rose by nearly a half whilst PPI complaints fell by a half. The chairman’s report states that FOS, along with a number of financial services providers, is looking at “whether we can do more preventative and mediating work to resolve disputes quickly before they turn into formal cases”.
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