This article contains a summary of recent regulatory developments in the European Union’s investment services sector and capital markets. The European Supervisory Authorities or ESAs have been issuing orders and opinions to the national regulators of the European Union in their efforts to help the financial sector cope with the world crisis.
The British Financial Conduct Authority has made several pronouncements on the economic emergency that the global pandemic is causing and its expectations of firms during this 'black swan' event. Operational resilience, access to cash, unsecured debt products and insurance are all part of the picture.
In a 'Dear CEO' letter to retail financial firms, the UK's Financial Conduct Authority has made a concession that ought to save wealth management firms a good deal of expense.
RegTech is defined by the UK's Financial Conduct Authority as the application of new technologies to facilitate the delivery of regulatory requirements. Here are a few recent developments.
This article contains a summary of recent regulatory developments in the European Union’s investment services sector and capital markets. The European Supervisory Authorities or ESAs have been issuing orders a...
The British Financial Conduct Authority has made several pronouncements on the economic emergency that the global pandemic is causing and its expectations of firms during this 'black swan' event. Operational res...
RegTech is defined by the UK's Financial Conduct Authority as the application of new technologies to facilitate the delivery of regulatory requirements. Here are a few recent developments. ...
The country might be in Coronavirus lockdown, but compliance recruitment is still going on at breackneck speed. I and my colleagues in temporary recruitment have been busy, although the situation might be on the...
The Securities and Exchange Board of India has made some far-reaching rule-changes in the last month. Investment advisors now have - or shortly will have - added obligations to fulfil; there are now provisions f...
In a 'Dear CEO' letter to retail financial firms, the UK's Financial Conduct Authority has made a concession that ought to save wealth management firms a good deal of expense. ...
The Securities and Futures Commission has banned Ms Chan Tan Lo, a former relationship manager at BOCI Securities, from doing financial business for 14 months up until 18 May 2021....
The UK's Financial Conduct Authority has offered something to the firms that it regulates to help them through the Coronavirus crisis. It has delayed the appearance of new rules, is appearing to invite them to u...
The Maltese Financial Services Authority has announced the appointment of David Eacott, who has had a 22-year career at the Bank of England, as its head of banking supervision. ...
The Australian Securities and Investments Commission has suspended the Australian financial services licence of Longhou Capital Markets Pty Ltd, a financial services provider in Queensland, for a period of three...