Tag Archives: Supervisory

FCA Handbook instrument introducing revised FCA supervisory principles

On 25 April 2019, the FCA published the Supervision Manual (Supervisory Principles Amendment) Instrument 2019. The Instrument amends the FCA’s Supervision Manual (SUP) by inserting at part 1A.3.2A G the FCA’s supervisory principles: as set out in their  Approach to … Continue reading

Posted in Banking and Finance law | Tagged , , , , , | Leave a comment

ESMA issues first pan-EU overview of use of supervisory sanctions for UCITS

On 4 April 2019, the European Securities and Markets Authority (ESMA) issued its first annual report on sanctions imposed by Member State competent authorities (NCAs) under the UCITS Directive. The report provides an aggregated overview of the penalties and measures … Continue reading

Posted in Banking and Finance law | Tagged , , , , , , , | Leave a comment

The Securities and Exchange Commission and the UK Financial Conduct Authority Sign Updated Supervisory Cooperation Arrangements

The Securities and Exchange Commission and the United Kingdom (UK) Financial Conduct Authority (FCA) have today reaffirmed their commitment to continue close cooperation and information sharing in the event of the UK’s withdrawal from the European Union (EU).As evidence of … Continue reading

Posted in Banking and Finance law | Tagged , , , , , , , , , , | Leave a comment

ECB Publishes Annual Report for 2018 Supervisory Activities

  On March 21, the (ECB) published its annual report on supervisory activities for 2018, which sets out the ECB’s key achievements during 2018 under the single supervisory mechanism (SSM). The ECB has also published a speech on the annual report … Continue reading

Posted in Banking and Finance law | Tagged , , , , , | Leave a comment

ECB speech on supervisory priorities and annual report for 2018 supervisory activities

On 21 March 2019, the European Central Bank (ECB) published a speech by its Supervisory Board Chair, Andrea Enria, following the publication of its 2018 annual report on supervisory activities. Alongside an overview of work conducted in 2018, Mr Enria … Continue reading

Posted in Banking and Finance law | Tagged , , , , , , | Leave a comment