CONVERGE18-Preview Podcasts-Philip Winterburn, KPIs for Benchmarking
On 17 March 2020, the FCA published a new webpage providing information on its expectations of firms’ response to the coronavirus. It will update the webpage over the coming weeks and expects to adapt its guidance...more
Q4 Update: Overview of Cartel Investigations - Although 2018 saw guilty pleas and new indictments in several ongoing Department of Justice (DOJ) investigations, the year finished by continuing a downward trend in antitrust...more
The European Banking Authority has published amended draft Implementing Technical Standards specifying the benchmarking portfolios, templates and definitions to be used as part of the annual benchmarking exercise by those...more
A Commission Implementing Regulation has been published in the Official Journal of the European Union, setting out changes to Implementing Technical Standards contained in a Commission Implementing Regulation published in...more
The clock is ticking and in less than a year the European Union (EU) General Data Protection Regulation (GDPR) will be in full force. Companies should be getting ready now in order to avoid hefty fines for violations (up to...more
Financial Industry Developments - CFTC Proposes to Amend Rules Governing Chief Compliance Officer Duties and Annual Reports for Certain Registrants - On May 3, 2017, the U.S. Commodity Futures Trading Commission...more
The European Commission published a report on benchmarking of diversity practices under the Capital Requirements Directive. The CRD requires banks and investment firms to ensure that the composition of management bodies is...more
Financial Industry Developments - CTFC Approves Re-Proposal of Position Limits Regulation - On December 5, 2016, the U.S. Commodity Futures Trading Commission ("CFTC") unanimously approved to re-propose rules that...more
A piece of major compliance legislation has just been passed in Europe: the long-awaited French anti-corruption and whistleblower protection law, Sapin II, which brings French anti-corruption standards in line with those of...more
The European Banking Authority published an amended version of its implementing technical standards on benchmarking of internal approaches under the Capital Requirements Directive IV. The ITS have been amended to assist...more
It’s Friday and time for another overview of developments in the field of business and human rights that we’ve been monitoring. This week’s post includes: a new guide for business lawyers from the International Bar...more
The European Banking Authority published a decision, dated May 31, 2016, on data for supervisory benchmarking under the Capital Requirements Directive. The CRD requires that regulators monitor the range of risk-weighted...more
Benchmarking your organisation’s data against your peers across EMEA & APAC provides critical insights into the health of your ethics and compliance programmes. Our new report gives the most comprehensive picture of...more
The European Banking Authority published an Opinion on the European Commission’s proposed amendments to the EBA's final draft Implementing Technical Standards on benchmarking of internal approaches to regulatory capital. The...more