Weekly Regulatory Publications

Finreg-E Weekly Regulatory Publications and News

Current key regulatory developments across regulators

Country Regulator Publish Date Type Title 
GermanyBaFin27-Mar-21Veranstaltung > VerbraucherschutzINVEST Stuttgart
United KingdomGOV.UK26-Mar-21Guidance and RegulationAnnual return spreadsheet template for ISA managers
SingaporeMAS26-Mar-21Monographs/Information Papers - Corporate Governance, Representative-related, Advisory and SalesInformation Paper: Good Practices Relating to Disciplinary Action Framework in the Financial Advisory Industry Corporate Governance Representative-related Advisory and Sales
European UnionESMA26-Mar-21Market data, Press ReleasesESMA71-99-1624:ESMA ADVISES ON FRAMEWORK FOR DATA REPORTING SERVICE PROVIDERS
GlobalBIS26-Mar-21Central Bankers SpeechesShaktikanta Das: Financial sector in the new decade
Hong KongHKMA26-Mar-21CircularsComplaints Watch (PDF File, 523.5 KB)
European UnionESMA26-Mar-21Fund Management >Press ReleaseESMA71-99-1603:ESMA consults on the framework for EU Money Market Funds
United KingdomGOV.UK26-Mar-21CMAExtended warranties: what you need to know before you buy
United StatesSEC26-Mar-21Litigation AdminIntegral Technologies, Inc.
GermanyBaFin27-Mar-21Veranstaltung > VerbraucherschutzINVEST Stuttgart
United KingdomGOV.UK26-Mar-21Guidance and RegulationAnnual return spreadsheet template for ISA managers
SingaporeMAS26-Mar-21Monographs/Information Papers - Corporate Governance, Representative-related, Advisory and SalesInformation Paper: Good Practices Relating to Disciplinary Action Framework in the Financial Advisory Industry Corporate Governance Representative-related Advisory and Sales
European UnionESMA26-Mar-21Market data, Press ReleasesESMA71-99-1624:ESMA ADVISES ON FRAMEWORK FOR DATA REPORTING SERVICE PROVIDERS
GlobalBIS26-Mar-21Central Bankers SpeechesShaktikanta Das: Financial sector in the new decade
Hong KongHKMA26-Mar-21CircularsComplaints Watch (PDF File, 523.5 KB)
European UnionESMA26-Mar-21Fund Management >Press ReleaseESMA71-99-1603:ESMA consults on the framework for EU Money Market Funds
United KingdomGOV.UK26-Mar-21CMAExtended warranties: what you need to know before you buy
United StatesSEC26-Mar-21Litigation AdminIntegral Technologies, Inc.
European UnionESMA26-Mar-21Fund Management >Press ReleaseESMA71-99-1603:ESMA consults on the framework for EU Money Market Funds
United KingdomGOV.UK26-Mar-21CMAExtended warranties: what you need to know before you buy
United StatesSEC26-Mar-21Litigation AdminIntegral Technologies, Inc.
European UnionEIOPA26-Mar-21RegulationESAs publish Joint Opinion on jurisdictional scope under the Securitisation Regulation
European UnionESMA26-Mar-21Crowdfunding >ReferenceESMA35-36-2201 response form:Response form to CP on draft technical standards under the ECSP Regulation
European UnionESMA26-Mar-21Board of Supervisors >Summary of ConclusionsESMA22-106-3160:Summary of conclusions Board of Supervisors- 28 January 2021
European UnionESMA26-Mar-21Post Trading >Final ReportESMA43-370-282:Final Report on MiFIR DRSPs fines
Isle Of ManIOMFSA26-Mar-21NewsArrangements for submission of audited financial statements and annual regulatory (or compliance) returns in response to Covid-19 restrictions (2021) (Press Release)
Isle Of ManIOMFSA26-Mar-21NewsAML/CFT Statistical Returns: submissions in 2021 (Press Release)
United KingdomGOV.UK26-Mar-21DCMSAd hoc statistical analysis: 2020/21 Quarter 4
United KingdomGOV.UK26-Mar-21DCMSThe English Institute of Sport Limited annual report 2019 to 2020
European UnionESMA26-Mar-21Market data >Final ReportESMA74-362-1830:Final report on DRSP fees
United KingdomIA26-Mar-21Press ReleaseInvestment management industry outlines position on green gilts
United KingdomFCA26-Mar-21Feedback statementsFS21/7: Open finance
United KingdomFRC26-Mar-21News - Accounting - Corporate Reporting - Financial ReportingFRC announces new approach to publishing corporate reporting reviews
United KingdomGOV.UK26-Mar-21CMACMA secures over £500k for Argos extended warranty customers
United KingdomGOV.UK26-Mar-21CMAHoyer Petrolog / DHL Supply Chain merger inquiry
European UnionESMA26-Mar-21Market data >Final ReportESMA74-362-1917:ESMA advice on the criteria for DRSP
United KingdomBOE26-Mar-21Prudential RegulationPS5/21 | CP4/21 Financial Services Compensation Scheme – Management Expenses Levy Limit 2021/22
United KingdomFCA26-Mar-21Feedback statementsFS21/7: Open finance – feedback statement
European UnionEIOPA26-Mar-21SupervisionEIOPA consults on revised Guidelines on the use of the Legal Entity Identifier
United KingdomGOV.UK26-Mar-21DCMSThe Prime Minister has reappointed James Timpson as a Trustee of the Tate
United KingdomFCA26-Mar-21Feedback statementsFS21/7: Open finance – feedback statement
European UnionEIOPA26-Mar-21SupervisionEIOPA consults on revised Guidelines on the use of the Legal Entity Identifier
United KingdomGOV.UK26-Mar-21DCMSThe Prime Minister has reappointed James Timpson as a Trustee of the Tate
European UnionESMA26-Mar-21Benchmarks >Final ReportESMA43-370-281:Final report_TA on procedural rules for penalties imposed on Benchmark Administrators
United KingdomGOV.UK26-Mar-21CMAFNZ / GBST merger inquiry
European UnionESMA26-Mar-21Securitisation >Q&AJC 2021 19:Joint Committee Q&As relating to the Securitisation Regulation
European UnionEBA26-Mar-21NewsESAs publish Joint Opinion on jurisdictional scope under the Securitisation Regulation
European UnionEBA26-Mar-21NewsESAs publish Q&As on cross-sectoral aspects of the Securitisation Regulation
European UnionESMA26-Mar-21Joint Committee, Securitisation >OpinionJC 2021 16:ESAs’ Opinion to the European Commission on the Jurisdictional Scope of Application of the SECR
European UnionESMA26-Mar-21Joint Committee, SecuritisationESAS PUBLISH Q&AS ON CROSS-SECTORAL ASPECTS OF THE SECURITISATION REGULATION
European UnionESMA26-Mar-21SecuritisationESAs publish Joint Opinion on jurisdictional scope under the Securitisation Regulation

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