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
The acquisition will add Red Deer’s surveillance and research capability to the Kaizen hub, assisting middle office and compliance divisions in identifying cases of market abuse and meeting regulatory commitments including MiFID II unbundling and fai
The Association for Financial Markets in Europe has advised negotiators at EU trilogues for the Markets in Financial Instruments Regulation review to consider the impact that MiFID could have on the attractiveness of Europe’s capital markets
Since 2011, banks’ leverage ratio has improved from 3.5 to 6.5 per cent and their risk-based common equity tier 1 ratio (CET1) has risen from 7 to 13 per cent, according to Basel Committee
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