All regulation news

Basel Committee launches consultation on core principles for banking supervision

06 July 2023 Switzerland
Reporter: Bob Currie

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

IQ-EQ boosts APAC presence with two acquisitions

29 June 2023 Luxembourg
Reporter: Lucy Carter

IQ-EQ has acquired ComplianceAsia and Lymon as it continues to expand its independent regulatory compliance business globally

Pirum launches Recalls solution for T+1 compliance

27 June 2023 US
Reporter: Jenna Lomax

The solution, named Recalls, assists with compliance ahead of T+1 regulation in the US and Canada in an effort to offer return on investment

SteelEye: Integrated surveillance demand increases

27 June 2023 US
Reporter: Klea Neza

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

Caisse des Dépôts picks Confluence to manage shareholder disclosures and operations

23 June 2023 France
Reporter: Jenna Lomax

France-based Caisse des Dépôts has selected Confluence to manage its asset management department’s shareholder disclosures and operations

ESMA defines its five-year data strategy

16 June 2023 EU
Reporter: AST

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

AFME highlights EU Securitisation Regulation challenges

14 June 2023 UK
Reporter: Lucy Carter

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

Industry statement released on EU Retail Investment Strategy

06 June 2023 Belgium
Reporter: Lucy Carter

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

Association of Global Custodians publishes DIGP report

06 June 2023 US
Reporter: Lucy Carter

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

ESMA releases its fifth CCP stress testing exercise

01 June 2023 EU, UK
Reporter: Bob Currie

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

OSC releases TestLab report

18 May 2023 Canada
Reporter: Lucy Carter

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

EU and UK adopt regulatory cooperation MoU

18 May 2023 Netherlands
Reporter: Lucy Carter

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

Get in touch

Home

Facebook

RSS feed

News