23 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

EIOPA consults on functioning of colleges of supervisors

16 hours ago  |  281 views  |  0  |  Recommends 0

The European Insurance and Occupational Pensions Authority (EIOPA) has published a consultation paper, together with a related cover note, on proposed guidelines on the operational functioning of colleges of supervisors as required under of the Solvency II Directive. The aim of the 28 guidelines is to clarify and enhance the co-operation between ...

Stuart ClarkImpendium Systems - London

Regulators work on OTC cross-border implementation issues

22 April 2014  |  531 views  |  0  |  Recommends 0

The OTC Derivatives Regulators Group (ODRG) (which includes principals from regulators worldwide with responsibility for over-the-counter (OTC) derivatives regulation) has produced its first report (published on 31 March) which sets out the current list of remaining cross-border implementation issues and their current status, including: treatm...

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Stuart ClarkImpendium Systems - London

ESMA sets out supervisory monitoring of TRs under EMIR

17 April 2014  |  553 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 Infrastruct...

Stuart ClarkImpendium Systems - London

FCA publishes Hedge fund report

15 April 2014  |  390 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 ...

Stuart ClarkImpendium Systems - London

FCA GABRIEL reporting system ready for CRD IV submissions

15 April 2014  |  442 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  |  541 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  |  586 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  |  661 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  |  627 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  |  502 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

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