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img_publication Observatorio

Financial Regulation: Weekly Update. 17 March 2017

Por , ,


  • FSB consults on Unique Transaction Identifier (UTI) governance

Contains proposals for a global UTI as a harmonised identifier for aggregation of transaction reports on OTC derivatives markets. Deadline: 5 May.

  • FSB publishes letter with its main priorities under the German G20 presidency

i) Transform shadow-banking, ii) make derivatives markets safer, iii) support post-crisis reforms, iv) address misconduct, correspondent banking and climate-related financial risks.

  • BIS consults on identification and management of step-in risk

The guidelines seek to reduce potential spillover effects from the shadow banking system arising from banks’ relationships with unconsolidated entities. Deadline: 15 May.



  • EBA issues opinion on National Bank of Belgium’s measures to tackle macroprudential risk

It does not object to NBB’s measures: 5 pp risk weight (RW) add-on for IRB banks, and additional component increasing RWs for riskier mortgage loans based on loan-to-value ratio.

  • EBA updates list of Other Systemically Important Institutions (OSIIs) in the EU

Updates the 2016 list of OSIIs. The criteria used to define O-SIIs are: size, importance, complexity and interconnectedness of the institutions.

  • ESMA publishes first set of CSDR Q&As

The Q&A seeks to clarify the Central Securities Depositories (CSD) requirements under Regulation (EU) No 909/2014 further developed in the recently published level 2 package.

  • EBA issues revised list of ITS validation rules

Presents new set of validation rules, highlighting deactivated ones (e.g. for triggering IT problems). Competent Authorities should not validate data using deactivated rules.

  • European Parliament presents amendments to ML/TF directive

Following the first reading, presents amendments to proposed directive on the prevention of the use of the financial system for money laundering or terrorist financing (ML/TF).

  • OJEU publishes corrigendum to Directive 2014/65/EU on MiFID II

Remarks two corrections to Articles 34 (9) and 35 (12) concerning paragraph reference numbers.

  • EBA introduces new section to cover resolution information & use of DGS funds

This new section will centralise information from national authorities on crisis prevention, liquidation using DGS funds, other DGS interventions and resolution of credit institutions.




  • Ministry of Economy consults on MiFID II application in Spain

Seeks is to ensure higher level of investor protection, improve regulatory framework for financial markets and reduce the bureaucracy of investment companies. Deadline: 10 Apr.

  • Bank of Spain consults on the new Notice modifying Notice 1/2013

It seeks comments on the proposed rule amending Circular 1/2013 on the Risk Information Centre, which seeks to implement AnaCredit in Spain. Deadline: 25 Mar.




  • HM Treasury consults on the Anti-money laundering supervisory regime

Following past consultations, requests further views on proposal to increase oversight of professional body supervisors by creating a new office within the FCA. Deadline: 26 Apr.

  • FCA consults regarding pension redress methodology

Seeks comments on methods for calculating the level of redress in cases of unsuitable advice on transfers from defined benefit pension schemes to personal pensions. Deadline: 10 Jun.


Recent publications of interest (in English and Spanish):


Previous editions of our Weekly Regulatory Update in Spanish and English

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