According to SteelEye’s 2023 Annual Compliance Health Check Report, integrated surveillance is now a key investment area for over a quarter of financial firms
The EU securities market regulator focuses on fostering effective markets and financial stability, strengthening EU financial supervision and improving protection for retail investors in its 2023-28 data programme
The Association for Financial Markets in Europe has published a report outlining challenges around investor due diligence requirements under the Securitisation Regulation in the EU and UK
A joint industry statement has been released following the European Commission’s Retail Investment Strategy, which proposes a number of reforms to the retail investment legislative framework. A full analysis is expected to follow
The project aims to help AGC members meet regulatory compliance requirements under Investment Company Act Rule 17f-7, which outlines how US mutual funds can hold securities through foreign depositories
In line with ESMA’s legal mandate under EMIR, this exercise will assess the resilience of CCPs to adverse market shocks and the danger that failure of a CCP or clearing member can propagate risk across the financial system
The report outlines steps that the OSC Innovation office intends to take to facilitate RegTech innovation in the region, such as enhancing collaboration between market participants
A draft Memorandum of Understanding outlining a framework for structured, voluntary regulatory cooperation in the financial services sector has been adopted by the European Commission and the UK
Canadian financial regulators have released a series of changes to total cost reporting disclosures for investment funds and individual segregated fund contracts
