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img_publication Observatorio

Financial Regulation: Weekly Update. 10 February 2017

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  • IOSCO publishes report on the implementation of Financial Benchmarks

The report finds that the principles were well implemented by the benchmark administrator applying most of the recommendations made in the first report of 2013.

  • IOSCO publishes report on Fintech

It describes different business models (P2P, robo-advisers, etc), analyses opportunities and risks, describes trends in the new technologies and cross-border challenges raised by them.




  • EBA publishes final draft RTS regarding non-EU non-financial counterparties (NFC)

It seeks to harmonize the treatment of non-EU NFC by specifying the procedures to exclude transactions from the capital requirement for credit valuation adjustment risk.

  • ESMA publishes guide to national rules on major holdings notifications

Under the transparency directive, this guide to national rules across EEA on major holdings helps market participants identify their notification obligations.

  • ESMA publishes its 2017 supervision plan

It presents the annual report and supervision work programmes for Credit Rating Agencies, trade repositories and third country CCPs in the EU.

  • ESMA issues report on Distributed Ledger Technology (DLT)

It assesses possible DLT applications with its benefits and future challenges. It concludes that regulatory action on the subject would be premature.

  • ESMA publishes risk assessment work programme

It sets out priorities for the year, focusing on monitoring the market, stress-test information, reporting documents and statistics, and in-depth research into key market topics.

  • ESMA publishes revision of ITS for MiFID standard on position reporting

Highlights technical changes identified in the practical implementation, regarding the format of position reports by investment firms and market operators.

  • EIOPA issues ITS on presentation format for Insurance Product Information Document

Proposes a standardised presentation format. Aims at enabling consumers to understand information on non-life insurance products and to make better decisions.



  • CNMV publishes handbook for foreign investment companies moving to Spain

It seeks to make Spain the best option for foreign investment firms. Special programme to guide them through the authorisation process and an overview of the relevant legislation.




  • FCA consults on open-ended funds investing in illiquid assets

It seeks views on the process and challenges arising from investments in illiquid assets via open-ended funds. Deadline: 8 May.

  • PRA updates Statement of Policy regarding levies for deposit protection

It seeks to align data references with Credit Unions’ templates. The statement establishes the method for calculating risk-adjustments for contributions to the Deposit Guarantee Scheme.

  • PRA consults on Bank of England’s (BoE) XBRL taxonomy

Seeks feedback on a public working draft about BoE XBRL taxonomy and related technical artefacts. Deadline: 16 Feb.



  • FED publishes scenarios for the 2017 Capital Analysis Review (CCAR)

Financial institutions are required to use these scenarios in both, the stress test exercises conducted as part of CCAR and those required by the Dodd-Frank Act.

  • CFTC provides time-limited no-action relief from federal position limits on derivatives

It will not advise enforcement actions (from 14 Feb to 14 Aug) for failures to file a notice when relying on some aggregate exemptions from federal position limit levels for derivatives.

Recent publications of interest (in English and Spanish):


Previous editions of our Weekly Regulatory Update in Spanish and English



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