Events listed in Capital Markets
Council Regulation (EU) 2023/2873 concerning restrictive measures in respect of ...
ID 26347
New Council Regulation (EU) 2023/2873 as regards sanction measures with respect to persons and entities that threaten or undermine the safety, independence, and sovereignty of Ukraine was published in the Official Journal (OJ) of the EU. The regulation modifies Council Regulation (EU) No 269/2014 in that it – extends the grounds for sanctioning persons, entities, and bodies which are subsequently listed in Annex I ...
Hvornår er forvaltere af alternative investeringsfonde og ...
ID 26345
The Danish FSA has made an assessment on the application of the Money Laundering Act on FAIFs and IFS. If these carry a license issued by the Danish FSA, it is not mandatory to register in the AML Register. Additionally, FAIFs and IFSs are regulated in § 1 PCS 1. 9) of the Money Laundering Act if they have direct customer contact.
Financial sanctions, Iran
ID 26344
The Office of Financial Sanctions Implementation of the HM Treasury, OFSI, has published a new Financial Sanctions Notice regarding sanctions measures with respect to persons and entities that are engaged in or supportive of human rights abuses or other hostile activities against the UK and other countries in Iran pursuant to Statutory Instrument SI 2023/1314, the new „Iran (Sanctions) Regulations 2023“. Specifically, the Office ...
CFTC Approves Two Proposals and a DCO Application
ID 26341
On December 18, 2023, the Commodity Futures Trading Commission (CFTC) published a press statement to inform of three (legislative) outcomes of its last open hearing on December 13, 2023. Specifically, the CFTC informs that it has 1. approved proposed rule amendments to Statutory Instruments 17 CFR Part 1 and 17 CFR Part 23 to create an operational resilience framework for futures commission merchants (FCMs), ...
CFTC Divisions Issue Staff Advisory on Affiliations Among CFTC-Regulated Entities
ID 26339
Following the launch of a request for comment (RFC) to gather insights into and inform possible future regulation as regards potential issues arising from affiliations between CFTC-registered entities and market participants by the staff of the divisions of Market Oversight, Clearing and Risk, and Market Participants of the CFTC in June 2023 (EventID 21982), the divisions have now published a Staff advisory (23-16) in ...
Financial sanctions targets: list of all asset freeze targets
ID 26338
Following the publication of new sanction measures, a new consolidated version of the list containing the names of ALL parties currently subject to asset freezing measures in the UK as of December 18, 2023 was published by the Office of Financial Sanctions Implementation of the HM Treasury.
Financial sanctions, Russia
ID 26336
The Office of Financial Sanctions Implementation (OFSI) has published a new Financial Sanctions Notice regarding sanctions measures with respect to persons and entities involved in or supportive of Russia’s action to destabilize Ukraine and threatening the sovereignty and independence of the country pursuant to Statutory Instrument SI 2019/855, the „Russia (Sanctions) (EU Exit) Regulations 2019“. Specifically, the OFSI informs that it has updated its ...
Adoption of Updated EDGAR Filer Manual
ID 26335
The U.S. Securities and Exchange Commission (SEC) has finalized revisions to the EDGAR (Electronic Data Gathering, Analysis, and Retrieval system) filer manual. The amendments are thereby approved and effective immediately, and are incorporated into Statutory Instrument 17 CFR Part 232 by reference. The revisions follow latest regulatory changes and corresponding modifications to the EDGAR system, which is used by individuals and entities to electronically ...
Joint Regulatory Oversight Committee highlights 2023 progress and sets out future ...
ID 26334
On December 18, 2023, the Financial Conduct Authority (FCA) issued a press statement to inform that the Joint Regulatory Oversight Committee (JROC) has provided an update on the advancements in open banking which aims to introduce a new generation of payment products and services in the UK to promote accessibility to banking services, foster inclusion, and enhance the entire banking experience of customers. Currently, ...
Integration, Sustainability and Competitiveness: Reflections and recommendations ...
ID 26333
AFME published a report issuing reflections and recommendations for banking and capital markets policy in anticipation of the next EU legislative cycle. Highlighting challenges arising from strained public finances, demographic shifts, and a significant need for annual investments, the report underscores the critical importance of fostering open, deep, and integrated capital markets to support EU corporates and citizens. The recommendations put forth by AFME ...