Exchange International - Financial Services Regulation Newsletter

Issue 27

Exchange - International: Financial Services Regulation Newsletter Series

By:

DLA Piper’s Financial Services International Regulatory Team welcomes you to the twenty-seventh edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of regulatory developments in the financial services sector.

This issue includes updates from the European Union, as well as contributions from Austria, China, the Netherlands, Spain, the UK and the USA.

Our aim is to assist you in providing an overview of developments which may be of interest to you. In each issue we will also focus on a topic of wider international interest. In this edition, “In Focus” looks at the Senior Managers Regime and Certification Regime, which aim to enhance accountability in the banking sector.

In addition, we look at ESMA's recommendations for changes to the EMIR framework, the FCA's guidance to minimising risks to customers caused by firms' poor performance management, FEMR's recommendations to strengthen the overall function of the FICC markets, and bank secrecy obligations imposed by FinCEN on investment advisors in the US, amongst other topics.

Please click here to access the magazine.

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