All regulation news

Industry statement released on EU Retail Investment Strategy

06 June 2023 Belgium
Reporter: Lucy Carter

A joint industry statement has been released following the European Commission’s Retail Investment Strategy, which proposes a number of reforms to the retail investment legislative framework. A full analysis is expected to follow

Association of Global Custodians publishes DIGP report

06 June 2023 US
Reporter: Lucy Carter

The project aims to help AGC members meet regulatory compliance requirements under Investment Company Act Rule 17f-7, which outlines how US mutual funds can hold securities through foreign depositories

ESMA releases its fifth CCP stress testing exercise

01 June 2023 EU, UK
Reporter: Bob Currie

In line with ESMA’s legal mandate under EMIR, this exercise will assess the resilience of CCPs to adverse market shocks and the danger that failure of a CCP or clearing member can propagate risk across the financial system

OSC releases TestLab report

18 May 2023 Canada
Reporter: Lucy Carter

The report outlines steps that the OSC Innovation office intends to take to facilitate RegTech innovation in the region, such as enhancing collaboration between market participants

EU and UK adopt regulatory cooperation MoU

18 May 2023 Netherlands
Reporter: Lucy Carter

A draft Memorandum of Understanding outlining a framework for structured, voluntary regulatory cooperation in the financial services sector has been adopted by the European Commission and the UK

Canadian regulators release planned TCR disclosure enhancements

21 April 2023 Canada
Reporter: Lucy Carter

Canadian financial regulators have released a series of changes to total cost reporting disclosures for investment funds and individual segregated fund contracts

Kaizen Reporting buys compliance solutions specialist Red Deer

19 April 2023 UK
Reporter: Bob Currie

The acquisition will add Red Deer’s surveillance and research capability to the Kaizen hub, assisting middle office and compliance divisions in identifying cases of market abuse and meeting regulatory commitments including MiFID II unbundling and fai

AFME issues equity market liquidity warning before MiFIR Review

17 April 2023 UK
Reporter: Lucy Carter

The Association for Financial Markets in Europe has advised negotiators at EU trilogues for the Markets in Financial Instruments Regulation review to consider the impact that MiFID could have on the attractiveness of Europe’s capital markets

Strong improvement in capital reserves and liquidity risk profiles key to banking resilience, says BCBS

23 March 2023 Switzerland
Reporter: AST

Since 2011, banks’ leverage ratio has improved from 3.5 to 6.5 per cent and their risk-based common equity tier 1 ratio (CET1) has risen from 7 to 13 per cent, according to Basel Committee

EU supervisors confirm ranking in resolution waterfall following Credit Suisse takeover

21 March 2023 Switzerland
Reporter: Bob Currie

The EU Single Resolution Board (SRB) has issued a statement confirming that holders of Additional Tier 1 (AT1) instruments should rank ahead of holders of common equity in case of resolution or insolvency of a banking institution in the Banking Union

Natixis picks Adenza’s solution to automate regulatory reporting in Hong Kong

20 March 2023 Hong Kong
Reporter: Jenna Lomax

The Adenza solution fully automates the regulatory reporting process by integrating, managing and reconciling volumes of disparate data

Corlytics and Solidatus enter into regulatory reporting partnership

15 March 2023 UK, US
Reporter: AST

This alliance will enable digitised regulatory information from Corlytics to be integrated into the regulatory data catalogues maintained by Solidatus and linked to data lineage models where they can be adapted to companies’ controls and systems

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