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The clearer view on financial services regulation

RegZone provides you with expert analysis and daily news from the fast-changing world of European financial institution regulation.  Created by CMS regulatory lawyers for those working in banking and finance, insurance, funds and asset management and securities and derivatives.  Sign up here for events, news digest and alerts (relevant to your areas of interest).

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Latest Reports

  • Fibre optic cables

    On 9 March 2017, the Financial Conduct Authority (FCA) announced that it had agreed a co-operation framework with its Japanese equivalent, the Financial Services Agency of Japan (JFSA). The co-operation framework aims to promote innovation in both Japan and the United Kingdom and speed up the regulatory approval process for ...

  • City, London

    This article first appeared on Practical Law and is published with the permission of the publishers The Enforcement Review – significant change or more of the same? The long running review of the FCA and PRA enforcement process has finally reached an end, at least for the FCA, with the ...

  • City, London

    The FCA is consulting on the future of illiquid assets and open-ended investment funds (Discussion Paper 17/1). This follows the well-publicised suspension of dealings by open-ended property funds in the immediate aftermath of the EU referendum. However the issues it raises are relevant to all open-ended funds investing in illiquid ...

  • Frankfurt, Germany

    Germany: Solvency II: BaFin provides Circular 2/2017 (VA) regarding the minimum requirements for the business organisation of insurance undertakings (MaGo) On 25 January 2017, BaFin provided its Circular 2/2017 (VA) regarding the minimum requirements for the business organization of insurance undertakings (“Mindestanforderungen an die Geschäftsorganisation von Versicherungsunternehmen, MaGo”). This Circular ...

  • office abstract

    The new rules in relation to regulatory references, which form part of the senior managers and certification regime, come into force in one month’s time on 7 March 2017. The new rules will apply to banks, building societies, credit unions and PRA-designated investment firms, branches of foreign banks as well ...

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Future Dates

* Estimated date

  • *End of March 2017

    UK Prime Minister, Theresa May, stated that the Government intends to trigger Art. 50 by this period.

  • *Early 2017

    European Commission document on accelerating CMU reform noted that by early 2017 the expert group would conclude work (regarding improving market infrastructure for cross-border investing).



  • *1 April 2017

    Date by which ESMA intends to submit final draft technical standards under the Benchmarks Regulation to the European Commission.

News Wizard

  • 23/03/2017

    EC: Consumer financial services action plan/FinTech: a more competitive and innovative European financial sector

    EC: Consumer financial services action plan/FinTech: a more competitive and innovative European financial sector
    News Date:
    23/03/2017
    News Text:
    The EC has adopted an action plan which sets out ways in which European consumers can be provided with greater choice and better access to financial services across the EU. Specific areas considered include: reducing legal and regulatory obstacles affecting businesses when seeking to expand abroad; reviewing distance selling pr...
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  • 23/03/2017

    ESMA: CSDR guidelines

    ESMA: CSDR guidelines
    News Date:
    23/03/2017
    News Text:
    ESMA has issued final reports on two sets of guidelines regarding the implementation of the Central Securities Depositary Regulation, which specifically deal with access by a CSD to the transaction feeds of a CCP or of a trading venue and CSD participant default rules and procedures.
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  • 23/03/2017

    ESMA: Guidelines on the validation and review of credit rating agencies methodologies

    ESMA: Guidelines on the validation and review of credit rating agencies methodologies
    News Date:
    23/03/2017
    News Text:
    ESMA has published the official translations of its final guidelines, which come into force in two months’ time.
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  • 23/03/2017

    European Parliament: EuVECA and EuSEF

    European Parliament: EuVECA and EuSEF
    News Date:
    23/03/2017
    News Text:
    This reports on a recent EP vote, where MEPs backed new draft rules and suggested new proposals on ESMA’s role, minimum investment and own funds.
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  • 23/03/2017

    FCA: Smaller Business Practitioner Panel

    FCA: Smaller Business Practitioner Panel
    News Date:
    23/03/2017
    News Text:
    FCA has announced the appointment of Craig Errington (Group CEO of Wesleyan) as chairman of the Smaller Business Practitioner Panel from 1 April 2017. He has been a member of the Panel since May 2013.
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