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Saturday 21 July, 2018
The official Financial Regulation Journal of SAIFM
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Financial Stability Board Consults on Compensation Data Reporting to Address Misconduct...

  As part of its 2015 workplan to reduce misconduct risk in financial institutions, the Financial Stability Board is consulting on recommendations for data reporting...

Central Banks put weight behind voluntary codes

The Bank of England (the “BoE”) has now issued statements of commitment to three voluntary codes for wholesale markets that were published last year – the FX Global Code, the UK Money Markets Code and the Global Precious Metals Code. Six other central banks have also signed up to the FX Global Code.

No Leniency Shown to First AIM Issuer Fined by the FCA...

The Financial Conduct Authority (FCA) has brought its first enforcement action under the EU Market Abuse Regulation (MAR), which has had direct effect in the UK since 3 July 2016.

ESMA to use new powers to attack the sale of CFDs...

  ESMA has launched a public consultation on measures to protect retail investors investing in contracts for difference (CFDs) and binary bets. Potential changes include...

FCA seeks views on approach to authorisation and competition

The FCA has recently published for consultation two documents setting out its approach to competition and authorisation. The documents are the latest in a series as part of the FCA’s commitment to be transparent in how it regulates and follow on from the FCA’s approach to consumers published back in November.