The EU’s financial markets regulator and supervisor aims to assess the compliance of supervised asset managers with relevant provisions of SFDR, the Taxonomy Regulation, UCITS and AIFMD
The BCBS has published the findings of its review, which began in April 2021, integrating advances in best practice and lessons learnt by the Financial Sector Assessment Program
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
