Financial Services Regulation

Group founded 01 Jul 2010
Posts 558
Members 60
Group summary

This network is for financial professionals interested in staying up to date on financial services regulation happening anywhere in the world. CFOs, bankers, fund managers, treasurers welcome.

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Retired Member

SEC proposals for cross-border security based swap activity

The Securities and Exchange Commission (SEC) has proposed detailed criteria which set out which regulatory requirements will apply when a transaction occurs partially within and partially outside the ...

31 May 2013
Retired Member

PRA Monitoring levels of capital - early warning indicators

The Prudential Regulation Authority (PRA) has published a letter sent on 23 May to all firms in the internal model approval process on the introduction of early warning indicators. The PRA proposes ...

30 May 2013
Retired Member

ISDA Protocols Updates

The International Swaps and Derivatives Association (ISDA) has published two protocols to assist firms in meeting the changes in derivative market regulatory changed. ISDA has launched its 2013 proto...

30 May 2013
Retired Member

EMIR framework application to non-EU CCPs

The European Commission has published a paper on the “Practical implementation of the EMIR framework to non-EU central counterparties (CCPs)”. The European Market Infrastructure Regulation (EMIR) i

29 May 2013
Retired Member

EMIR Trade Reporting implementation now due in November 2013

The European Securities and Markets Authority has updated its website detailing that its best estimate is that the registration of the first Trade Repositories is not likely to take place before Aug

29 May 2013
Retired Member

HKMA Updates OTC DerivativeTrade Repository Documents

The Hong Kong Monetary Authority (HKMA) has updated its website to post revised information and documents related to the Trade Reporting service. The documents updated are: the Reporting Service R

28 May 2013
Retired Member

EMIR application - EU to provide clarity on approach

The European Commission has required the European Securities and Markets Authority to prepare regulatory technical standards on the application of the European Markets Infrastructure Regulation (EMIR)...

28 May 2013
Marc Murphy

Beneficial Ownership: A KYC opportunity or data nightmare?

Beneficial ownership is gaining significant exposure at the moment, with the UK intending to use its presidency of the G8 Leaders’ Summit next month to promote the improvement of international co-oper...

28 May 2013
Retired Member

PRA approach to Solvency II

The PRA has published the slides used at its industry briefings on the European Insurance and Occupational Pensions Authority (EIOPA) guidelines on preparing for Solvency II. The PRA’s expectation is...

15 May 2013
Retired Member

FSB Data Gaps Initiatives and OTC Derivative Reforms Monitor

The Financial Stability Board (FSB) has announced that it has developed a common data template for systemically important global financial institutions (G-SIBs) to improve data to support financial st...

13 May 2013
Retired Member

Cross-border Concerns Raised to G20 April Meeting

The UK Chancellor together with the Brazilian, French, Japanese, South African, German, Russian and Swiss Ministers and the European Commission Commissioner for Internal Market and Services have writ...

10 May 2013
Retired Member

Implementation of OTC Derivatives Market Reforms: FSB Report

The Financial Stability Board (FSB) has published its fifth progress report on the global implementation of OTC derivative markets reforms. The reports charts the regulatory reform progress across al...

09 May 2013

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