Events listed in Asset Management
Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to ...
ID 21408
The Monetary Authority of Singapore (MAS) published a revised version of what it calls a Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS for Fund Managers. The „toolkit“ provides guidance to managers or prospective managers of licensed and registered fund and to those managing venture capital funds on (a) business matters for which prior approval must be sought from MAS, (b) ...
New consolidated version: Council Regulation (EU) 2020/1998 of 7 December 2020 ...
ID 21407
A new consolidated version of Council Regulation (EU) 2020/1998 with respect to sanction measures directed against persons and entities associated with serious human rights violations and abuses was published in the Official Journal (OJ) of the EU. The Regulation contains amendments to its Annex I setting out a list of sanctioned natural and legal persons, entities and bodies which were made by [Council Implementing ...
UK list of exempted shares [xlsx]
ID 21406
The Financial Conduct Authority (FCA) has published a revised list of FCA exempt shares from short selling notification requirements. These shares are also NOT subject to the uncovered short sales restrictions set out in the Retained Short Selling Regulation (UK SSR). Please note that the exempt shares list of the European Securities and Markets Authority (ESMA) has been removed as it no longer applies ...
Letter from David Bailey and Charles Woods ‘UK Deposit Takers Supervision: 2023 ...
ID 21405
The Prudential Regulation Authority, PRA, has published a Dear CEO Letter addressed at chief executive officers (CEOs) of PRA-regulated financial institutions. Therein, the PRA specifies its 2023 (supervisory) priorities regarding depository institutions the key ones of which are briefly summarized below: (1) Credit risk: As global inflation and interest rates are at very high levels and as economic uncertainty continues to prevail, the PRA ...
EBA GL 2021 14 – GLs on internal governance for investment firms under ...
ID 21404
On 10 January 2023, the European Banking Authority (EBA) has published an updated version of the compliance table for its „Guidelines on internal governance under Directive (EU) 2019/2034“. To recall, these IFD Guidelines (EBA/GL/2021/14) were published in November 2021 to take effect five months from then and shall support the implementation of a „clear organisational structure with well‐defined, transparent and consistent lines of responsibility“, .. ...
EBA updates JSON files within the taxonomy package
ID 21403
The European Banking Authority (EBA) updated the JSON files within the taxonomy package, which impact only the XBRL-CSV reporting documents. For navigation in the document, a „data point identifier is being used instead of a data point version identifier.“
New consolidated version: Commission Implementing Regulation (EU) 2016/1801 of 11 ...
ID 21402
A new consolidated version of Commission Implementing Regulation (EU) 2016/1801 as regards the mapping of relevant credit assessments for securitisations issued by external credit assessment institutions (ECAIs) to the credit quality steps set out in the Capital Requirements Regulation (CRR) was published in the Official Journal (OJ) of the EU. The consolidated version includes the amendments made by Commission Implementing Regulation (EU) 2022/2365 which ...
Der „Europäische Pass“ für Wertpapierinstitute
ID 21401
Die BaFin aktualisiert ihren Artikel „Der „Europäische Pass“ für Wertpapierinstitute“ zum Thema „Passporting-Wertpapierinstitute“. Bitte die vorherige Version des Artikels vom 28.07.2022 (eventid=16889) beachten. Die Liste der Länder in den Abschnitten „Notifikationsverfahren – Änderungen“ und „Wichtige Hinweise“ wurde durch die Löschung von “Belgien“ wie folgt geändert: Notifikationsverfahren … Änderungen Sämt ...
Innovation Hub: Market insights
ID 21400
The Financial Conduct Authority (FCA) has published an update on the level and area of participation in the FCA’s regulatory sandbox and innovation hub. The disclosed information contains data collected between 2014 and December 2022 and shows (1) the number of firms participating in the sandbox and hub by market sector; (2) the key technological areas and focus of participating firms; and (3) and ...
Letter from Nathanaël Benjamin and Rebecca Jackson ‘International banks active in ...
ID 21399
The Prudential Regulation Authority, PRA, has published a Dear CEO Letter addressed at chief executive officers (CEOs) of PRA-regulated international banks. Therein, the PRA specifies its 2023 (supervisory) priorities regarding international banks operating in the UK. The key priorities are briefly summarized below: (1) Financial resilience: As the economy is on a downside and as high financial market volatility persists, the PRA expects banks ...