Events listed in Capital Markets
DP23/5: Advice Guidance Boundary Review – proposals for closing the advice gap
ID 26169
The HM Treasury and the Financial Conduct Authority, FCA, have jointly launched a discussion paper (DP23/5) in relation to the Advice Guidance Boundary Review (AGBR) to bridge the advice gap and make financial advice more accessible to retail customers. The advice gap results either from – consumers NOT having the information they need at the time when they need it to make informed financial ...
Financial sanctions, Belarus
ID 26168
The Office of Financial Sanctions Implementation, OFSI, has published a new Financial Sanctions Notice regarding sanctions measures in view of Belarus‘ violations of human rights, disrespect of democracy, and its support of the Russian Federation in latter’s aggression towards Ukraine pursuant to Statutory Instrument SI 2019/600, the „Republic of Belarus (Sanctions) (EU Exit) Regulations 2019“. Specifically, the OFSI informs that it has updated its ...
AgCon2024 Set for April 11-12
ID 26167
The US Commodity Futures Trading Commission (CFTC) has published a press statement to inform of the upcoming third Agricultural Commodity Futures Conference (AgCon2024) on April 11-12, 2024 in Overland Park, Kansas. As in the years before, the conference will be jointly hosted by the CFTC and the Center for Risk Management Education and Research (CRMER) at Kansas State University and aims to discuss „a ...
Financial sanctions targets: list of all asset freeze targets
ID 26166
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 8, 2023 was published by the Office of Financial Sanctions Implementation of the HM Treasury.
Libya: Council Regulation (EU) 2016/44 concerning restrictive measures in view of ...
ID 26164
A new consolidated version of Council Regulation (EU) 2016/44 concerning „restrictive measures in view of the situation in Libya“ was published in the Official Journal (OJ) of the EU. The consolidated version contains the amendments made by Council Implementing Regulation (EU) 2023/2504 which modified Annex II to the 2016 Regulation containing a list of natural and legal persons, entities, and bodies subject to asset ...
Financial Services Regulation: Measuring Success – Call for Proposals
ID 26160
The HM Treasury has published the consultation outcome on a „call for proposals“ launched earlier this year as regards measures to evaluate regulatory efficiency and the performance of the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) (EventID 21133). ##### Background To recall, in view of new powers provided to the Treasury via the Financial Services and Markets Act 2023 which enables ...
Circular to intermediaries SFC and HKMA joint product survey 2023
ID 26156
The Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) have issued a joint circular to inform intermediaries with type 1 or type 4 registrations about the upcoming yearly survey on sales data on certain investment products. In detail, the survey covers „the sale of non-exchange-traded investment products such as collective investment schemes, debt securities, structured products, swaps, swaptions and repos“ ...
Human Rights-Related Designations; Issuance of Global Magnitsky Frequently Asked ...
ID 26152
The Office of Foreign Assets Control (OFAC) has published a press release to inform about new sanction measures. Specifically, the Office added 22 individuals to its Specially Designated Nationals and Blocked Persons List (SDN List) due to their engagement in human rights violations pursuant to existing sanction regulations (Executive Order 13818 and 31 CFR Part 583). The affected persons are listed below. ANDRE, Johnson ...
Swiss Climate Scores für mehr Transparenz und Klimaverträglichkeit
ID 26150
Die SBVg unterstützt aktiv die breite Anwendung des durch den Bundesrat aktualisierten “Swiss Climate Scores“ (eventid=24112) in der Bankenbranche, um Anlegern informierte Entscheidungen im Hinblick auf die Klimaverträglichkeit von Finanzanlagen zu ermöglichen. Die Finanzindustrie setzt die Scores um und trägt damit zur Positionierung der Schweiz als führender Hub für nachhaltige Finanzen bei. Die „Swiss Climate Scores“ schaffen Transparenz und Verglei ...
Financial sanctions, Iran (human rights)
ID 26149
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 in Iran pursuant to Statutory Instrument SI 2019/134, the „Iran (Sanctions) (Human Rights) (EU Exit) Regulations 2019“. Specifically, the Office informs that it has updated its sanction ...