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Topic: Regulatory updaters

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New Regulation Tomorrow Plus podcast: ESG: Key regulatory risks in the UK and US and practical steps to manage them

September 05, 2022

Our latest episode of Regulation Tomorrow Plus is now available to stream and download on ‘Apple podcasts‘ and ‘Spotify‘

Monthly Global FinTech regulatory updater

July 18, 2022

Every month we provide the Global Blockchain Business Council’s Post-Trade Distributed Ledger group with a global regulatory FinTech updater, the latest version of which can be found here.

ESG: Key regulatory risks for financial services firms in the UK and US and how to manage them

July 14, 2022

Investors are increasingly seeking sustainable financial products and ESG investing, traditional investing combined with sustainable or otherwise philanthropic aims, has seen huge growth in recent years.

Beyond the TPR: navigating landing slots and regulatory expectation

July 14, 2022

Over the course of the last few weeks, the Financial Conduct Authority (FCA) and the Prudential Regulation Authority have continued to allot landing slots to firms that are currently providing services in the UK under the Temporary Permissions Regime (TPR). These landing slots usually provide a period of 3 months during which time the firm can apply either for re-authorisation (as a branch or subsidiary) or to vary its existing permission.

HM Treasury policy paper: Review of the UK’s AML/CFT regulatory and supervisory regime

June 30, 2022

On 24 June 2022, HM Treasury published two post-implementation reviews and a forward looking review of the UK’s anti-money laundering and countering the financing of terrorism (AML/CFT) regime.

Joint Regulatory Oversight Committee: Terms of reference

June 30, 2022

On 24 June 2022, there was published the terms of reference of the Joint Regulatory Oversight Committee (Committee).

The Committee comprises of the Competition and Markets Authority, Financial Conduct Authority, Payment Systems Regulator and HM Treasury. The Committee’s role is to oversee the planning and preparation for the future open banking entity and consider the vision and strategic road-map for further developing open banking. The Committee will also be responsible for overseeing and, where applicable, monitoring the future entity, once set up, until a permanent regulatory framework is in place.

Latest edition of the Regulatory Initiatives Grid

June 07, 2022

On 25 May 2022, the Financial Services Regulatory Initiatives Forum (Forum) published an updated version of the Regulatory Initiative Grid which sets out the regulatory pipeline so that financial services firms and other stakeholders can understand, and plan, for the timing of the initiatives that may have a significant operational impact on them. The Forum comprises of the Bank of England, FCA, PRA, Payment Systems Regulator, the Competition and Markets Authority, the Information Commissioner’s Office, the Pensions Regulator and the Financial Reporting Council. HM Treasury is an observer member.

What will operational resilience look like going forward? An overview of the supervisory regulatory position

June 07, 2022

On 25 May 2022, Duncan Mackinnon (Executive Director for Supervisory Risk Specialists) gave a speech at the City and Financial 9th Annual Operational Resilience for Financial Institutions Summit. In his speech Mr Mackinnon discusses where the PRA expects firms to focus on as they work towards building operational resilience by March 2025. By this time, firms will need to ensure they are resilient to disruption of their important business services, which if disrupted, could pose a risk to their safety and soundness or in certain cases to the financial stability of the UK.

HM Treasury response to consultation and call for evidence on the UK regulatory approach to cryptoassets, stablecoins and DLT

May 25, 2022

On 4 April 2022, HM Treasury published a response to its earlier consultation and call for evidence on the UK regulatory approach to cryptoassets, stablecoins and distributed ledger technology (DLT) in financial markets.

BoE publish PRA Regulatory Digest: March 2022

May 25, 2022

On 1 April 2022, the PRA published its Regulatory digest for March 2022. The digest summarises PRA publications and speeches that have occurred in March. The top news and publications in this month’s edition includes: