Week ending 5 November 2020

29 October 2020: The European Fund and Asset Management Association (EFAMA) has issued a statement on a global initiative on cyber security led by the International Investment Funds Association (IIFA) and supported by fund associations around the world. IIFA has published a document ‘IIFA Cybersecurity…


Week ending 5 November 2020

29 October 2020: The European Parliament published a study examining the supervisory implications of the Wirecard case. It highlights several lessons for the regulation and supervision of fintech companies, and emphasises that regulators need a deep understanding of fintech’s technologies and business models. …


Week Ending 29 October 2020

27 October 2020: The European Central Bank (ECB) has published for consultation its draft oversight framework for electronic payment instruments, schemes and arrangements (PISA). Comments are requested by 31 December 2020 on three draft documents — the oversight framework, assessment methodology and exemption policy. …


Week Ending 29 October 2020

28 October 2020: The Bank of England (BoE) has published minutes of the first meeting of the Artificial Intelligence Public-Private Forum (AIPPF) held on 12 October 2020. In the opening remarks, co-chairs Dave Ramsden (BoE) and Sheldon Mills (Financial Conduct Authority) emphasised the importance of…


Week Ending 29 October 2020

26 October 2020: The European Securities and Markets Authority (ESMA) released a public statement that clarifies the application of the EU trading obligation for shares (STO) following the end of the UK’s transition from the EU on 31 December 2020. The statement outlines that the…


Week Ending 29 October 2020

23 October 2020: The Treasury Committee launched an inquiry to review what progress has been made in combatting economic crime since its last inquiry, carried out under the previous parliament. The inquiry will focus on anti-money laundering systems and the sanctions regime, and on consumers…


Week ending 22 October 2020

19 October 2020: The Financial Conduct Authority (FCA) has published a third insight piece on data sharing, trust and consumer freedoms, as part of its series of articles on Future Market Dynamic.

19 October 2020: The Financial Stability Board (FSB) has published its final report…


Week ending 22 October 2020

19 October 2020: The European Securities and Markets Authority (ESMA) has published issue 17 of its Newsletter, which covers appointments to its Central Counterparty Supervisory Committee, its latest Trends, Risks and Vulnerabilities (TRV) report, and its review of the Market Abuse Regulation (MAR).

19 October…


Week ending 22 October 2020

15 October 2020: HM Treasury has published a call for evidence setting out the government’s aims for protecting access to cash throughout the UK. It seeks views on how the government can ensure the UK maintains an appropriate network of cash withdrawal and deposit-taking facilities…

Compliance Tyler

Tyler Woollard is the founder of The Conduct Mind, a compliance consultancy firm. www.theconductmind.com Online shop https://bit.ly/37tDCXO

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