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The European Commission has published a Delegated Regulation addressing further matters relating to Market Abuse Regulation 596/2014
On 11 January 2016 the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2016 Examination Priorities.
The EBA has published its final Guidelines on sound remuneration policies under CRD 4
The FCA publishes CP16/1 “Consequential changes to the Senior Managers Regime” amending the concept of the ‘presumption of responsibility’ within SMR
ESMA publishes its final report on the guidelines specifying criteria for the assessment of knowledge and competence as required Under Article 25(1) of MiFID 2 (2014/65)
Amendment of the consumer privacy provisions revises the requirement for Financial Institutions to provide an annual privacy disclosure
Key reporting date for AIFMs approaches
Flows of Confidential and Inside Information review published by FCA
FCA publishes review of wealth management firms and private banks
Commission Delegated Regulation comes in to force
The FCA publishes Guidance Consultation GC 15/6 “Proposed guidance for firms outsourcing to the ‘cloud’ and other third-party IT services”
With just over a year to go, the Chair of ESMA explains MiFID II timing 'extremely tight' and that there are a few areas where calendar is 'already unfeasible'
Implementation of the Transparency Directive Amending Directive leads to some changes to the Disclosure Rules and Transparency Rules sourcebook
European Banking Authority Consultation on Sound Remuneration Policies
FCA publishes terms of reference for asset management market study
CP18/19: Introducing the Directory
With the release of Consultation Paper CP18/19 in July 2018, it was announced by the Financial Conduct Authority...
Brexit — HM Treasury publishes draft Statutory Instrument — MiFID
The European Union (Withdrawal) Act 2018 (EUWA) repeals the European Communities Act 1972 on the day the UK...
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