News & Analysis as of

UK Financial Conduct Authority Consults on Changes to Implement the Market Abuse Regulation

The Financial Conduct Authority published its proposed changes to the Decision Procedure and Penalties Manual and the Enforcement Guide for implementation of the Market Abuse Regulation. The MAR will apply directly across the...more

HM Treasury Consults on Legislation for Secondary Annuities Market

HM Treasury published a consultation paper on the UK Government’s proposed secondary market due to be introduced in April 2017. The market would extend the recently introduced pension freedoms and flexibilities to...more

SGX public consultation on listing rules amendments to align with changes to the Companies Act - Electronic transmission of...

After a series of public consultations by the Steering Committee for the Review of the Companies Act, key provisions in the Companies Act (Cap 50) of Singapore (Companies Act) were identified for reform and refinement. The...more

European Banking Authority Consults on Amendments to Approaches for Determining Proxy Spreads and Market Loss

The European Banking Authority published a consultation paper proposing amendments to the regulatory technical standards for determining proxy spread and the specification of a limited number of smaller portfolios for credit...more

European Commission Seeks Views on Harmonizing EU Insolvency Regimes Under its Capital Markets Union Action Plan

The European Commission launched a consultation seeking views on key insolvency principles and standards which could ensure that national insolvency frameworks work in a cross-border context. The consultation is part of the...more

European Banking Authority Consultation on Reporting Financial Information Using GAAP

The European Banking Authority launched a consultation on reporting financial information across EU jurisdictions using national Financial Supervisory Reporting Generally Accepted Accounting Practices (GAAP). The EBA reported...more

UK Payment Systems Regulator Consults on Account Regulations

The Payment Systems Regulator published a consultation paper on the application of the Payment Account Regulations 2015 to alternative arrangements for switching accounts, including draft guidance on its approach to...more

UK Regulator Issues Consultation Paper on Risk-Based Levies for the Financial Services Compensation Scheme Deposit Class

The Prudential Regulation Authority published a consultation paper proposing amendments to the Depositor Protection Part of the PRA Rulebook and a new Statement of Policy in relation to the Financial Services Compensation...more

UK Regulator Consults on Proposed Changes to Payment Accounts Regulation

The Financial Conduct Authority published a consultation paper on proposed changes to the FCA Handbook following the implementation of the EU Payment Accounts Regulation. The consultation is aimed at entities that provide...more

New Requirements to Hong Kong Professional Investor Regime to Become Effective on 25 March 2016

The Hong Kong Securities and Futures Commission (the “SFC”) issued a consultation paper titled “Consultation Paper on the Proposed Amendments to the Professional Investor Regime and the Client Agreement Requirements” on 15...more

Changes on the horizon: Transfers and early exit charges

In light of concerns about whether there are barriers preventing people from accessing the new DC flexibilities, in July 2015 the Treasury issued a consultation looking at early exit charges and how the transfer process could...more

ESMA Publishes Consultation Guidelines on MiFIR

On December 23, 2015, the European Securities and Markets Authority (ESMA) published consultation guidelines (Guidelines) in relation to Markets in Financial Instruments (MiFIR). The Guidelines are intended to complement ESMA...more

FCA Consultation on Implementation of MiFID II in UK Rules

On December 15, the Financial Conduct Authority (FCA) published an initial consultation paper (Consultation Paper) on implementing the revised and recast Markets in Financial Instruments Directive (MiFID II) and the...more

SFC Published the Consultation Conclusions on the Client Agreement Requirements

On 8 December 2015, the Securities and Futures Commission of Hong Kong (the “SFC”) released the “Consultation Conclusions on the Client Agreement Requirements” (“Consultation Conclusions”), in which the SFC has resolved to...more

SFC Proposal to Widen the Scope of the Short Position Reporting

On 27 November 2015, the Securities and Futures Commission of Hong Kong (the “SFC”) published the “Consultation to expand the scope of short position reporting and on the corresponding amendments to the Securities and Futures...more

Closure of ROCs for small scale solar

In July, the Government launched a consultation on how to cost effectively manage the deployment of solar PV of 5MW and below within the Renewables Obligation. The outcome of the consultation was published on 17th...more

Blog: EBA Consultation On The Separation Of Payment Card Schemes & Processing Entities

The European Banking Authority has published a consultation paper (CP) and some draft regulatory technical standards (RTS) on the separation of payment card schemes and processing entities, under article 7(6) of the...more

FCA Publishes MiFID 2 Markets Consultation

Despite the continuing absence of the Commission’s Level 2 legislation implementing the revised Markets in Financial Instruments Directive and Regulation (MiFID 2) package, and the rumours of a delay to the implementation...more

FCA consults on UK implementation of the Market Abuse Regulation

On 5 November 2015, the Financial Conduct Authority (FCA) published a consultation paper CP15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU) (Consultation...more

EIOPA consults on PEPP

EIOPA has published a survey on the attractiveness of a standardised PEPP. Following previous consultation (see FReD 10 July), EIOPA is seeking further input on what would make the market attractive for providers to offer...more

A Secret UK Government Consultation–Is the Bribery Act About to Be Watered Down?

Through a Freedom of Information Act request, anti-corruption campaigners Corruption Watch obtained and released details of what they dubbed a “widespread, secret and one-sided consultation” by the Department of Business,...more

EIOPA Consultation Paper

On October 30, 2015 the European Insurance and Occupational Pensions Authority (EIOPA) published a consultation paper on the proposal for preparatory guidelines on product oversight and governance arrangements by insurance...more

FCA Publishes Policy Proposals and Handbook Changes Related to the Market Abuse Regulation

On November 5, the UK Financial Conduct Authority (FCA) published a consultation paper (Consultation Paper), which sets out the FCA’s proposal for the necessary changes to the FCA Handbook to implement the Market Abuse...more

BCBS Consultation Document on Haircut Floors

The Basel Committee on Banking Supervision (BCBS) has published a consultation document on haircut floors for non-centrally cleared securities financing transactions. The report is published following a recommendation by the...more

Third party arbitration funding gets support in Hong Kong

The Law Reform Commission of Hong Kong recently published a Consultation Paper recommending that the Arbitration Ordinance should be amended to expressly permit third party arbitration funding along with appropriate ethical...more

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