Regulatory compliance

FRC appoints Barrett executive counsel

The UK's Financial Reporting Council (FRC) has reported this morning that it has appointed Elizabeth Barrett as Executive Counsel and Director of Enforcement from August 1. She will be a member of the FRC's Executive Committee. Barrett will be responsible for leading the FRC's Enforcement Division...
EFAMA paper confirms PRIIPs rules shortcomings

Six months into the implementation of the new Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation, the European Fund and Asset Management Association (EFAMA) has published an evidence paper which explains the shortcomings of the new PRIIPs Key Information Document (KID) rules...
LEI transition period ending soon

The six-month transition period that the European Securities and Markets Authority (ESMA) that allowed for legal entity identifier (LEI) requirements to be complied with following the implementation of markets in financial instruments directive (MiFID II) on January 3, will end as scheduled on 2...
ICMA publishes new report on CSDR

How to survive in a mandatory buy-in world is the title of a report published today by the International Capital Market Association (ICMA). It addresses the potential market consequences of one of the provisions of the Central Securities Depository Regulation (CSDR). The report notes that while CSDR...
Nasdaq latest to join Systematic Internaliser Registry Data Group


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