Tag: supervision
Showing 12 out of 12 results
Regulation in Focus Podcast: FCA's regulatory decision-making proposals - faster and less costly, but at what price?
FCA CEO sets out transformational agenda for the regulator and the regulated – the 2021/22 FCA Business Plan
“STABILITY AND CONSISTENCY”: PRA SETS OUT PROPOSALS FOR POST-BREXIT APPROACH TO INTERNATIONAL BANKS
FCA’s Approach to International Firms
PRA Dear CEO letter to firms on operational readiness for TPR
IOSCO proposes updated Outsourcing Principles as Covid-19 drives operational resilience to the top of the agenda
Client facilitation – Key standards of conduct and internal controls identified and reiterated by Hong Kong SFC
Authors: William Hallatt, Hannah Cassidy and Jennifer Fong On 14 May 2019, the Securities and Futures Commission (SFC) issued further guidance …
Report into supervision of the Co-operative Bank: lessons not just for regulators but also for firms
Authors: Jenny Stainsby, Vicky Man and Cat Dankos While there have been other reviews1 into the near failure of the Co-operative Bank ("Co-op Bank"), on …
SFC publishes AML/CFT inspection findings and urges intermediaries to ensure compliance
The Securities and Futures Commission (SFC) issued a circular on 31 August 2018 highlighting both deficiencies and good practices observed in relation to …
New Insurance Authority in Hong Kong commences regulation of insurers with enhanced powers
With effect from 26 June 2017, the independent Insurance Authority (IA) assumed its regulatory responsibilities and replaced the Office of the …
UK: PRA confirms approach to supervising insurers
Documents published over the summer provide some insight into how the PRA is supervising insurers. In particular, firms should be aware of a new …
UK: Improving accountability of the FCA and the financial services industry through transparency and more effective disclosure
Being a transparent regulator is at the heart of the approach of the new Financial Conduct Authority (FCA). Clearly there is a need to strike the …