Tag: MIfid 2
SRP Europe 2021: finding the link between SFDR and structured products
Europe | Conferences
02 Mar 2021 by Lavanya Nair
Day one of the SRP virtual Europe 2021 conference saw panellists discuss the potential for structured products to fall under the scope of the Sustainable Finance Disclosure Regulation (SFDR) at the 'Understanding regulatory obligations for the European structured products market' discussion on 1 March.
UK moves to ‘improve’ Priips regime
Europe | Regulations & Legal
02 Nov 2020 by Tim Mortimer - FVC
On 23 June, the UK government announced its intention to convert the existing body of EU legislation into British law and has now issued some more detailed proposals.
FinSA: new requirements for foreign players in Switzerland
Europe | Regulations & Legal
17 Jul 2020 by Pablo Conde
The new Swiss Financial Services Act (FinSA) which came into force on 1 January 2020, introduced new provisions for cross-border financial services for international banks operating in the Swiss market. These include obligations to avoid conflicts of interests and other organisational requirements to align the country’s regulatory framework with Europe.
Esma updates structured deposit investor protection guidelines
International | Regulations & Legal
05 Jun 2020 by SRP News
The new guidelines replace the Esma rules on the same topic issued in 2012. They also include updates that enhance clarity and foster greater convergence in the implementation, and supervision, of the new Mifid 2 compliance function requirements.
Consumer body warns of ‘devastating’ impact of MEPs rejection of Priips RTS
Europe | Regulations & Legal
22 Apr 2020 by Pablo Conde
As the Priips review continues to drag on without solving some of the underlying issues and addressing the differing views, consumer bodies fire a warning shot after the European Council and Parliament reject the draft Regulatory Technical Standards (RTS) (level 2).
More on Priips: urgent revision of ‘impracticable Kids’ needed
Europe | Regulations & Legal
24 Feb 2020 by Pablo Conde
The inconsistency between the Ucits and Priips regime remains a concern as well as some of the modifications on Regulatory Technical Standards (RTS) proposed by the ESAs under the Priips review including ‘performance scenarios’ and ‘summary risk indicators (SRI) indicators’.
SRP Europe 2020: Automation & regtech: the key to market growth?
Europe | Conferences
12 Feb 2020 by SRP News
The focus on technology to improve internal systems and drive efficiency is ever increasing while innovation in regtech helps companies comply with the latest regulatory requirements, according to panellists at the ‘automation & regtech session’ at SRP Europe 2020 on January 30 in London.
SRP Europe 2020: How has the buy-side adapted to Mifid 2?
Europe | Conferences
10 Feb 2020 by Dimitar Dimitrov
In the dawn of the post Mifid-period, German distributors discussed the implementation of the latest rules and regulations, the feedback they have received from clients, and the impact the new regulatory regime is having on their investment decisions, at the Harmony or Havoc: How has the buy-side adapted to Mifid 2 panel discussion at the SRP Europe 2020 conference in London on January 29.
Esma: Priips Kid methodology and presentation will be amended
Europe | Regulations & Legal
21 Nov 2019 by SRP News
The European regulator acknowledges the need ‘to get a Kid that meets the intended outcomes’ as Mifid 2 follow up review looms.
