Archive for Compliance

China’s WeChat weighs banker-friendly messaging

Service aimed at letting global bankers do bond trades without compliance breach

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China’s WeChat weighs banker-friendly messaging

Outlining the FCA’s approach to authorisation

Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference.

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Outlining the FCA’s approach to authorisation

IMF calls on China banks to boost capital after credit boom

Stress tests show most lenders under-capitalised despite compliance with Basel III

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IMF calls on China banks to boost capital after credit boom

IMF calls on China banks to boost capital after credit boom

Stress tests show most lenders under-capitalised despite compliance with Basel III

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IMF calls on China banks to boost capital after credit boom

FCA statement on the Work Plan for ESMA opinions on pre-trade transparency waivers and commodity position limits

Pre-trade transparency waivers On 28 September 2017, ESMA issued a public statement regarding the joint work plan of ESMA and NCAs for opinions on MiFID II pre-trade transparency waivers. The statement explains that, while ESMA intends to finalise the opinions on equity waivers by the end of 2017, due to the high number and complexity of applications that need to be assessed, it is unlikely to be in a position to issue opinions on a majority of non-equity waiver notifications before 3 January 2018. In light of ESMA’s clarification of its process, we will now communicate responses on complete non-equity waiver applications before the finalisation of ESMA opinions.

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FCA statement on the Work Plan for ESMA opinions on pre-trade transparency waivers and commodity position limits

A Better View

Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017

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A Better View

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