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National news

21
Jan
2019
US - Adoption of rules about better Information from Brokers on Orders Handling
On 2 November 2018, the Securities and Exchange Commission announced that it has adopted amendments that will require...
National news
On 2 November 2018, the Securities and Exchange Commission announced that it has adopted amendments that will require broker-dealers to disclose to investors new and enhanced information about the way they handle investors’ orders.
US - Adoption of rules about better Information from Brokers on Orders Handling
21
Jan
2019
UK - FCA’s consultation on the temporary permissions regime
On 10 October 2018, the Financial Conduct Authority (FCA) published its consultation paper (CP18/29) looking at how...
National news
On 10 October 2018, the Financial Conduct Authority (FCA) published its consultation paper (CP18/29) looking at how firms and funds can enter the TPR.
UK - FCA’s consultation on the temporary permissions regime
21
Jan
2019
DE - National prohibition of binary options for retail clients in Germany
On 29 November 2018, the German Federal Financial Supervisory Authority (BaFin) has published on Bafin's website the...
National news
On 29 November 2018, the German Federal Financial Supervisory Authority (BaFin) has published on Bafin's website the draft version of a general administrative act that will prohibit the marketing, distribution and sale of binary options to retail clients at a national level.
DE - National prohibition of binary options for retail clients in Germany
21
Jan
2019
BE - Introduction of additional liquidity tools for Belgian public funds
On 5th November 2018, the Royal Decree dated 15th October 2018 has been published that aims to introduce additional...
National news
On 5th November 2018, the Royal Decree dated 15th October 2018 has been published that aims to introduce additional measures that Belgian public funds may, under certain specific conditions, apply as part of their liquidity management.
BE - Introduction of additional liquidity tools for Belgian public funds
21
Jan
2019
IE - Cross-sectoral outsourcing discussion paper published by Central Bank of Ireland
On 19 November 2018, the Central Bank of Ireland (CBI) published a discussion paper entitled “Outsourcing – Findings and...
National news
On 19 November 2018, the Central Bank of Ireland (CBI) published a discussion paper entitled “Outsourcing – Findings and Issues for Discussion” containing a summary of key issues and risks identified by the CBI.
IE - Cross-sectoral outsourcing discussion paper published by Central Bank of Ireland
21
Jan
2019
LU - New Luxembourg circular on non-UCITS depositories
On 23 August 2018, the CSSF published Circular 18/697 applicable to non-UCITS depositories.
National news
On 23 August 2018, the CSSF published Circular 18/697 applicable to non-UCITS depositories.
LU - New Luxembourg circular on non-UCITS depositories
21
Jan
2019
LU – New Luxembourg circular on portfolio management companies
On 23 August 2018, the Financial Sector Oversight Commission (CSSF) published its Circular 18/698 applicable with...
National news
On 23 August 2018, the Financial Sector Oversight Commission (CSSF) published its Circular 18/698 applicable with immediate effect on the accreditation and organisation process for fund management firms incorporated in Luxembourg.
LU – New Luxembourg circular on portfolio management companies
21
Jan
2019
FR – Voting in general meetings: AMF updates its doctrine
On 5 October 2018, the AMF published the report from its taskforce on shareholder rights and voting in general meetings,...
National news
On 5 October 2018, the AMF published the report from its taskforce on shareholder rights and voting in general meetings, together with its Recommendation No. 2012-05.
FR – Voting in general meetings: AMF updates its doctrine
21
Jan
2019
FR – Report on corporate governance and executive compensation
On 26 November 2018, the French Financial Markets Authority (AMF) published its annual report on corporate governance...
National news
On 26 November 2018, the French Financial Markets Authority (AMF) published its annual report on corporate governance and executive compensation in listed companies.
FR – Report on corporate governance and executive compensation
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