Tag: FCA

Dear CEO letter outlines four principal areas of potential harm to the clients of depositaries and custodians, along with market integrity, which need to be addressed.

The registration enables it to provide commercial services to clients as a crypto-asset business, a key milestone as it prepares to launch.

The report from the UK central ban found that financial firms are spending upwards of $20 billion a year on post-trade processing systems alone.

Trade repositories will be able to register with the Financial Conduct Authority (FCA) following the end of the Brexit transition period.

Authorities in Spain, Italy, France and the UK have all enforced bans on creating or increasing short positions on some securities in response to significant declines across Europe’s equities markets.

The FCA has made it clear to asset managers it would be evaluating their efforts to implement SMCR during the first half of 2020.

Depositary industry faces mounting speculation that it could face increased regulatory scrutiny as a result of the Woodford episode.

FCA chief Bailey voices his concern over the future of the UK's CCPs once its temporary recognition with ESMA expires in 2020.

A growing number of European regulators and investors have expressed concerns about the liquidity risk management practices at daily dealing UCITS funds.

The UK FCA is set to open an assessment of authorised corporate directors following the fallout of the Neil Woodford fund affair.