Topics

AIFMD sets the operating rules for alternative fund managers, including authorisation, delegation, risk and liquidity management, leverage, valuation and depositary oversight. Firms need to track Level 1 updates…

Investment funds regulation spans UCITS and AIF frameworks, management company requirements, outsourcing expectations, valuation controls, liquidity tools and investor disclosure. Asset managers must keep pace with regulatory technical…

Bank recovery and resolution requirements focus on resilience under stress: credible recovery options, operational continuity, resolvability and the ability to execute resolution strategies. Firms monitor BRRD developments, resolution…

Banking regulation brings together prudential capital, liquidity, governance and reporting requirements with supervisory expectations on risk management and controls. Firms track legislative change, technical standards and regulator publications…

The Basel framework sets international standards for bank capital, liquidity and risk management, implemented across UK and EU regimes through CRR/CRD and PRA rules. Firms track how Basel 3.1 reforms affect credit risk, market risk,…

The Benchmarks Regulation (BMR) governs benchmark administrators and users, covering governance, methodology, input data controls and contingency planning. Firms using benchmarks need to track critical benchmark designations, permitted…

Capital markets regulation spans issuance, trading, transparency and market infrastructure — touching venues, participants and disclosure obligations. Firms monitor developments across primary markets, market structure reforms and supervisory…

CRR/CRD rules define how banks calculate own funds, risk‑weighted assets and key ratios, and they drive extensive prudential reporting. Teams need to track amendments, EBA standards, templates and…

CCP recovery and resolution frameworks address how clearing houses manage extreme stress while maintaining financial stability. Requirements cover recovery tools, loss allocation, governance triggers, default management and coordination…

CSDR sets the rules for central securities depositories and introduces settlement discipline measures that affect market participants. Firms track settlement fail requirements, buy‑in regimes, reporting obligations and operational…

Conduct regulation focuses on how firms treat customers and manage market-facing behaviour — including product governance, sales practices, disclosures, complaints and oversight of distribution chains. Supervisory expectations evolve…

The Consumer Protection Code Review reflects how the Central Bank of Ireland updates expectations around consumer outcomes, disclosures, suitability, vulnerability and governance. Firms must follow consultation papers, feedback…

Corporate governance requirements set expectations for board oversight, risk culture, internal control frameworks and accountability. Across UK, Irish and EU regimes, firms track supervisory guidance on decision-making, committee…

CP86 sets out the Central Bank of Ireland’s framework for fund management company effectiveness, covering governance, designated persons, organisational effectiveness and resourcing. Firms track supervisory expectations, thematic…

CRA regulation focuses on the independence and quality of ratings, covering methodologies, governance, conflicts management and transparency. Firms monitor ESMA communications and supervisory actions, as well as changes…

Deposit Guarantee Schemes (DGS) rules set coverage, funding and payout expectations designed to protect depositors and support confidence. Firms track eligibility changes, depositor information requirements, funding and reporting…

Digital finance regulation spans fintech delivery models, digital assets, data-enabled services and evolving supervisory expectations on innovation. Firms monitor legislative packages, regulator communications and standards that touch operational…

DORA establishes EU-wide requirements for digital operational resilience across financial entities, covering ICT risk management, incident reporting, resilience testing and oversight of critical third-party providers. Firms track…

EU Exit impacts how UK and EU requirements diverge over time, affecting onshored rules, equivalence, cross‑border permissions and supervisory expectations. Firms need to track legislative amendments, regulator guidance…

EMIR governs derivatives clearing, risk mitigation and trade reporting across EU and UK frameworks. Firms monitor updates to reporting schemas, reconciliation expectations, clearing thresholds and margin requirements, alongside…

Fitness and Probity requirements set standards for competence, integrity and suitability in controlled functions. Firms track updates to approval processes, due diligence expectations, ongoing certification and supervisory messaging…

GDPR shapes how firms handle personal data, including lawful processing, data subject rights, retention, security controls and breach notification. Financial services organisations also balance privacy with regulatory recordkeeping…

Ireland’s Individual Accountability Framework brings sharper focus to personal responsibility, conduct standards and governance. Firms monitor implementation expectations, supervisory messaging and related accountability regimes, including SEAR requirements where…

IDD sets conduct and disclosure requirements for insurance distribution, including product oversight and governance, remuneration, conflicts and customer information. Firms track technical guidance and supervisory expectations that shape…

The Interchange Fee Regulation (IFR) caps certain card interchange fees and sets transparency expectations across card-based payments. Firms track changes that affect pricing, scheme rules, merchant information and…

IFD/IFR establishes a tailored prudential framework for investment firms, including K‑factor capital requirements, classification and reporting. Firms monitor EBA standards, reporting templates and supervisory expectations that influence data,…

The IORP II Directive sets governance, risk management and disclosure standards for institutions for occupational retirement provision. Firms and pension schemes track requirements covering own-risk assessments, key function holders,…

Liquidity regulation covers how firms manage short‑term resilience and funding stability, including LCR and NSFR metrics, stress testing and contingency planning. Teams track updates to technical standards, reporting…

Market Abuse Regulation (MAR) sets expectations on inside information controls, disclosure, surveillance and reporting of suspicious transactions. Firms monitor changes to guidance, enforcement trends and supervisory priorities that…

MiCAR creates an EU-wide framework for crypto‑assets, including issuance, stablecoin rules and authorisation for crypto‑asset service providers. Firms track regulatory technical standards, supervisory communications and evolving expectations around…

MiFID II/MiFIR defines conduct and market structure rules for investment services, including investor protection, best execution, product governance and transparency. Firms track amendments, ESMA Q&As and supervisory reviews…

Money laundering regulation sets expectations on customer due diligence, ongoing monitoring, screening, suspicious activity reporting and governance. Firms monitor legislative changes, supervisory guidance and enforcement trends that shape…

MMF regulation focuses on liquidity, valuation and portfolio constraints designed to reduce run risk and enhance transparency. Firms track changes to liquidity buffer expectations, stress testing, reporting and…

The Mortgage Credit Directive shapes consumer protections in mortgage lending, covering creditworthiness assessments, disclosures, advice standards and sales practices. Firms track changes that influence affordability frameworks, documentation and…

Non-financial reporting requirements cover how firms disclose information on sustainability, governance and wider corporate responsibility matters, including frameworks such as the CSRD and related standards. Firms track scope…

Payments regulation spans PSD requirements, open banking, safeguarding, strong customer authentication and operational expectations for payment service providers. Firms monitor legislative reform, scheme changes and supervisory focus areas…

PRIIPs sets retail disclosure standards, including the Key Information Document (KID), costs and charges presentation and performance scenarios. Firms track updates to methodology, templates and supervisory interpretation that…

Prospectus requirements govern disclosure when securities are offered to the public or admitted to trading. Firms monitor changes to exemptions, content requirements and supervisory expectations that influence documentation,…

Recovery and resolution requirements extend beyond banks, focusing on preparedness, governance and operational capability to withstand stress events. Firms track policy developments, supervisory expectations and cross‑jurisdiction coordination that…

The Savings and Investments Union, previously the Capital Markets Union (CMU), is the EU initiative to deepen and integrate capital markets and channel savings into productive investment. Firms track policy proposals, legislative…

SFTR introduces reporting and transparency requirements for securities financing transactions such as repos and securities lending. Firms monitor updates to reporting standards, validation rules and supervisory expectations that…

Securitisation rules set due diligence, disclosure and risk retention expectations, including the STS framework where applicable. Firms track updates that affect investor obligations, originator and sponsor requirements, templates…

SEAR strengthens accountability by requiring clear allocation of responsibilities, governance documentation and conduct expectations for senior executives. Firms track implementation guidance, supervisory communications and alignment with wider accountability…

The Single Resolution Mechanism (SRM) governs how certain EU banks are resolved, led by the Single Resolution Board. Firms track SRB policies, expectations for resolvability, MREL and operational…

The Single Rulebook provides a harmonised set of prudential rules for financial institutions across the EU, developed largely through the European Banking Authority. Firms track technical standards, guidelines and Q&As that give…

The Single Supervisory Mechanism (SSM) shapes banking supervision in the euro area, with ECB-led oversight and consistent supervisory methodologies such as SREP. Firms monitor ECB guidance, thematic priorities…

Solvency II sets the prudential framework for insurers, including capital requirements, risk management, governance and reporting. Firms track updates to the SCR framework, internal model expectations, ORSA guidance…

Sustainable finance regulation spans disclosure regimes such as SFDR, taxonomy alignment and supervisory expectations on greenwashing risk and governance. Firms monitor evolving technical standards, guidance and enforcement trends…

UCITS rules govern retail fund structures, investment and diversification limits, disclosures and management company obligations. Firms monitor changes to reporting expectations, investor information requirements and supervisory guidance on…