21 April 2014

Financial Services Regulation

This network is for financial professionals interested in staying up to date on financial services regulation happening anywhere in the world. CFOs, bankers, fund managers, treasurers welcome.
Stuart ClarkImpendium Systems - London

ESMA sets out supervisory monitoring of TRs under EMIR

17 April 2014  |  441 views  |  0  |  Recommends 0

The European Securities and Markets Authority (ESMA) has published a summary of its supervisory work plan 2014 in relation to trade repositories (TRs) authorised under the European Markets Infrastructure Regulation (EMIR). The bulk of activities for 2014 are expected to be of a desk based on-going supervisory nature (although detail on ESMA’s abil...

Stuart ClarkImpendium Systems - London

FCA publishes Hedge fund report

15 April 2014  |  366 views  |  0  |  Recommends 0

The Financial Conduct Authority (FCA) has published a report setting out the findings from its hedge fund survey based on data received from 49 management firms. The data is intended to inform FCA’s approach to monitoring and managing risk in the investment industry. The survey includes information on: · the size and scale of the hedge ...

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Stuart ClarkImpendium Systems - London

FCA GABRIEL reporting system ready for CRD IV submissions

15 April 2014  |  419 views  |  0  |  Recommends 0

The Financial Conduct Authority (FCA) has published a communication sent to firms on 17 March 2014 to inform them that the GABRIEL reporting system is ready to receive submissions for common reporting...

Stuart ClarkImpendium Systems - London

BCBS finalises approach of derivatives-related transactions

14 April 2014  |  505 views  |  0  |  Recommends 0

The Basel Committee (BCBS) has published a final standard on the treatment of derivatives-related transactions in its capital adequacy framework. This applies to OTC derivatives, exchange-traded deri...

Stuart ClarkImpendium Systems - London

CFTC analyses data sent to trade repositories

14 April 2014  |  563 views  |  0  |  Recommends 0

The Commodities and Futures Trading Commission (CFTC) together with the US Office of Financial Research (OFR) have announced that they are commencing a joint project to enhance the quality, types and ...

Stuart ClarkImpendium Systems - London

ESAs consults on supervision of financial conglomerates

11 April 2014  |  650 views  |  0  |  Recommends 0

The Joint Committee of the three European Supervisory Authorities (ESAs) has published a consultation on the guidelines to clarify and enhance cooperation between competent authorities on a cross-bord...

Stuart ClarkImpendium Systems - London

EC response on classification of financial instruments

11 April 2014  |  622 views  |  0  |  Recommends 0

On 20 March 2014 ESMA published the European Commission’s (EC) response (dated 26 February 2014) to ESMA’s letter of 14 February 2014 regarding the classification of financial instruments as derivativ...

Stuart ClarkImpendium Systems - London

ESMA lists authorised CCPs and OTC subject to clearing

10 April 2014  |  493 views  |  0  |  Recommends 0

derivatives which may be subject to the clearing obligation under EMIR Following the authorisation of Nasdaq OMX Clearing AB as the first EU-based central counterparty (CCP) under the European Marke

Stuart ClarkImpendium Systems - London

PRA explains use of BMA data in Solvency II supervision

09 April 2014  |  556 views  |  0  |  Recommends 0

The Bank of England has published an article by members of the PRA’s Policy Division on the role of business model analysis (BMA) in the supervision of insurers. This is in the “Topical Articles” sec...

Stuart ClarkImpendium Systems - London

PRA consults on calculation of technical provisions

09 April 2014  |  649 views  |  0  |  Recommends 0

The Prudential Regulation Authority (PRA) has published a consultation paper seeking views from general insurers on a draft supervisory statement which sets out the PRA’s expectations in relation to t...

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