7Online/RedRock Ltd

We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

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Strengthening Accountability: SM&CR Forms update

Overview This consultation paper (CP), sets out the Prudential Regulation Authority’s proposals to make minor amendments to the PRA Rulebook, Notifications Form and Senior Manager & Certification Regime (SM&CR;) Form L . This CP is relevant to all PRA-authorised firms . The proposals in this CP would result in changes to the Notifications Part of the PRA Rulebook, the Notification Form, and the SM&CR; Form L . The PRA does not expect firms would incur additional costs as a direct re...

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ESMA issues second report on sanctions under MiFID II

The European Securities and Markets Authority (ESMA), the EU’s securities markets’ regulator, has published today its second report on sanctions and measures imposed under the Markets in Financial Instruments Directive (MiFID II) by National Competent Authorities (NCAs) Overall, in 15 (out of 30) EEA Member States, NCAs imposed a total of 371 sanctions and measures in 2019 of an aggregated value of about €1 . 8 million . The Report provides an overview of the applicable legal fram...

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Sanctions and measures imposed under MiFID II in 2019

Report Sanctions and measures imposed under MiFID II in 2019 13 July 2020 | ESMA35-43-2427 13 July 2020 ESMA35-43-2427 Table of Contents 1 Executive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 2 Background and relevant regulatory framework for reporting on MiFID II sanctions and measure...

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2020-07-13 - Press release - Important monetary policy data for the week ending 10 July 2020

Press release Communications P . O . Box, CH-8022 Zurich Telephone +41 58 631 00 00 [email protected] . ch Zurich, 13 July 2020 Important monetary policy data for the week ending 10 July 2020 Interest rates and threshold factor In percent Date SNB policy rate1 SARON Close of trading2 Special rate (liquidity-shortage financing facility)3 Interest rate on sight deposits4 Threshold factor –0 . 75 –0 . 75 –0 . 75 –0 . 7...

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Invest Wealth Solutions Ltd (clone of FCA authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’.

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Fabio Panetta: Pursuing a successful path towards euro area accession

SPEECH Pursuing a successful path towards euro area accessionIntroductory remarks by Fabio Panetta, Member of the Executive Board of the ECB, at a meeting of the Euro Accession Countries Working Group of the Committee on Economic and Monetary Affairs of the European Parliament Frankfurt am Main, 13 July 2020 Honourable members of the Committee on Economic and Monetary Affairs, Thank you for inviting me to discuss with you the state of convergence of the EU Member States that are committed to ado...

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Euro central and compulsory intervention rates for Bulgarian lev and Croatian kuna in ERM II

PRESS RELEASEEuro central and compulsory intervention rates for Bulgarian lev and Croatian kuna in ERM II 13 July 2020Compulsory intervention rates for Bulgarian lev and Croatian kuna established as of 13 July 2020 following their inclusion in ERM IICompulsory intervention rates agreed by accord between ECB and national central banksEuro central and compulsory intervention rates for Danish krone remain unchanged Further to the decisions taken on 13 July 2020 (see communiqués of the European Unio...

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OCC Announces Project REACh to Promote Greater Access to Capital and Credit for Underserved Populations

News Release 2020-89 | July 10, 2020 OCC Announces Project REACh to Promote Greater Access to Capital and Credit for Underserved Populations WASHINGTON—The Office of the Comptroller of the Currency today announced the launch of Project REACh to promote financial inclusion through greater access to credit and capital . REACh stands for Roundtable for Economic Access and Change and brings together leaders from the banking industry, national civil rights organizati...

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CFTC Invalidates CPO Registration Exemptions for 17 Foreign Entities

Washington, D . C . — The Commodity Futures Trading Commission today announced it has issued an order deeming the commodity pool operator (CPO) exemptions of 17 entities to be ineffective following a special call by the Division of Swap Dealer and Intermediary Oversight (DSIO) . The order was approved by the Commission on July 7, 2020 and is effective immediately . The special call was authorized by the Commission in March 2020 . “This Commission action, and the related use of its special cal...

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