Events listed in Capital Markets
AFME welcomes the UK PRA’s publication of elements of Basel 3.1 standards ...
ID 26211
AFME has expressed its approval of the UK PRA release of key components of the Basel 3.1 standards, marking a significant step in implementing post-financial crisis reforms (eventid=24391). These standards, originally agreed upon in December 2017, are crucial for maintaining the UK’s status as a leading international financial center. AFME emphasized the importance of aligning with international standards, considering the role of the UK ...
Informationen zum Meldeverfahren für wesentliche Auslagerungen
ID 26210
Die BaFin hat nach der Einführung der Wertpapierinstituts-Anzeigenverordnung (WpI-AnzV) ihre Vorgaben für die Anzeigepflichten bei Auslagerungen für Wertpapierinstitute weiter präzisiert. Wertpapierinstitute sind nun verpflichtet, Pläne, Durchführungen und wesentliche Änderungen von bedeutenden Auslagerungen über die MVP anzuzeigen. Dies betrifft auch Auslagerungen, die seit dem 26. Juni 2021 erfolgt sind und bislang nicht gemeldet wurden; diese müssen rückwirkend bis zum 30. ...
Council Decision (CFSP) 2023/2799 concerning restrictive measures in view of the ...
ID 26209
Council Decision (CFSP) 2023/2799 was published in the Official Journal (OJ) of the EU. Therein, the European Council states that the sanction measures in connection with human rights abuses, child recruitment for military purposes, obstruction of humanitarian aid, and the threatening the peace and stability in Mali as set out in Article 1a(1) and Article 2a of Council Decision (CFSP) 2017/1775 are **extended by ...
List of market makers and authorised primary dealers [pdf]
ID 26208
The Financial Conduct Authority (FCA) has published an updated list of UK authorized market makers and primary dealers pursuant to Article 17(13) of the retained EU Short Selling Regulation (UK SSR) which are exempt from short selling prohibitions in accordance with paragraph 1 or 3 of same regulation. The list is updated following a new notification; however, the FCA has the right to disallow ...
Publication of the Wolfsberg Group-IIF joint response to the FATF’s public ...
ID 26207
The Wolfsberg Group and the IIF jointly responded to the FATF public consultation (see eventid=23946) on its Risk-Based Guidance on Recommendation 25 (Beneficial Ownership and Transparency of Legal Arrangements). The Wolfsberg Group and IIF assert that ensuring the provision of competent authorities and regulated entities with accurate, verified, and up-to-date BO information is crucial for effectively combating financial crime. They emphasize that regulated entities ...
Guidelines on Outsourcing (Financial Institutions other than Banks)
ID 26206
In view of the increasing use of outsourcing arrangements by financial market players, the Monetary Authority of Singapore (MAS) has published new guidelines in this context. In these guidelines, MAS outlines its expectations of firms currently engaged in outsourcing arrangements or that plan to be come engaged in such. MAS thereby covers a wide range of issues including the following: – the responsibilities of ...
Engagement feedback on the new public offers and admissions to trading regime
ID 26204
The Financial Conduct Authority (FCA) has issued an „Engagement feedback paper“ which outlines the responses the Authority has received to a number of so-called „engagement papers“ it published earlier this year to collect views on aspects to be considered in the design of a new public offers and admissions to trading regime. — ##### Background To recall, in May and July 2023, the FCA ...
ESAs recommend steps to improve activities of innovation facilitators across the ...
ID 26197
The ESAs have issued a comprehensive report on innovation facilitators, encompassing innovation hubs and regulatory sandboxes, with a focus on enhancing their role and efficiency in the financial sector across the EEA. The report acknowledges improvements in the operations of EEA innovation hubs since the last assessment in 2019, emphasizing their continued dedication to enhancing firms‘ understanding of regulations and supervisory expectations. Regulatory sandboxes ...
Aktualisierte Sanktionsmeldung
ID 26196
Das WBF hat eine Änderung des Anhangs der Verordnung über Maßnahmen betreffend Haiti vom 16. Dezember 2022 (SR 946.231.139.4) publiziert. Am 11. Dezember 2023 hat das WBF die Liste der in diesem Kontext sanktionierten Personen, Unternehmen und Organisationen geändert. Die Änderung ist in der Schweiz direkt anwendbar. Das WBF hat daher die für die Schweiz maßgebliche Sanktionsdatenbank SESAM angepasst und die Anpassung auf seiner ...
FACT SHEET: U.S. Department of the Treasury Actions to Prevent and Disrupt ...
ID 26195
The U.S. Department of the Treasury (USDT) has published a „fact sheet“ in which it outlines its efforts in the last two years and upcoming initiatives to combat corruption and illicit finance. These efforts and initiatives focus around three key themes: – the prevention of money laundering; – holding individuals and firms accountable for their doing; and – the strengthening of global anti-corruption efforts. ...