An Overview of EU and UK Wholesale Market Regulators

An Overview of EU and UK Wholesale Market Regulators

Carl Fernandes

20 years: Financial services law & regulation

In this series, Carl provides an introduction to how wholesale financial markets are regulated, with a particular focus on the regulatory framework in Europe and the UK. This video will look at the various financial services regulators globally and locally, and their remit.

In this series, Carl provides an introduction to how wholesale financial markets are regulated, with a particular focus on the regulatory framework in Europe and the UK. This video will look at the various financial services regulators globally and locally, and their remit.

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An Overview of EU and UK Wholesale Market Regulators

8 mins 32 secs

Overview

This video essentially covers the regulatory framework in the EU and the UK. In the EU, three legislative bodies are responsible for creating legislation, and three ESAs, each with their own remit are responsible for ensuring regulatory compliance. Similarly in the UK, policy is created by the HM Treasury, and the FCA and PRA are responsible for regulatory compliance.

Key learning objectives:

  • What are the four principal regulating bodies, and what are their roles?

  • What is the role of ESMA, EBA and EIOPA?

  • What is the role of the HM Treasury in the UK?

  • In the UK, who are the two key financial services regulators, and what are their roles?

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Summary
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Expert
Carl Fernandes

Carl Fernandes

Carl is a partner in the financial services regulatory team at Linklaters. He has been a financial services regulatory lawyer for the last 20 years, practicing in both London and Hong Kong.

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