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April 11

Regulation ESMA reports on EU accounting enforcement in 2016

ESMA reports on EU accounting enforcement in 2016 The European Securities and Markets Authority (ESMA) has published its annual report on the enforcement and regulatory activities of accounting enforcers within the European Union (EU) in (...)

Regulation

ESMA proposes updates to endorsement guidelines for 3rd country credit ratings

Regulation

ESMA publishes final rules to ensure integrity of EU financial benchmarks

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October 2016

Regulation ESMA consults on future reporting rules for securities financing transactions

The European Securities and Markets Authority (ESMA) has issued today a consultation paper on draft technical standards implementing the Securities Financing Transaction Regulation (SFTR), which aims to increase the transparency of shadow banking (...)

October 2016

Regulation ESMA consults on future rules for financial benchmarks

The European Securities and Markets Authority (ESMA) has today published a consultation paper regarding its draft regulatory and implementing technical standards (RTS/ITS) which will implement the Benchmarks Regulation (...)

August 2016

Regulation Basel III implementation: Basel Committee reports to G20 Leaders

The Basel Committee on Banking Supervision has today published a report for the G20 Leaders at their Summit in Hangzhou on 4-5 September.

July 2016

Regulation ESMA advises on extension of funds passport to 12 non-EU countries

The European Securities and Markets Authority (ESMA) has today published its Advice in relation to the application of the Alternative Investment Fund Managers Directive (AIFMD) passport to non-EU Alternative Investment Fund Managers (AIFMs) and Alternative Investment Funds (...)

July 2016

Regulation ESMA consults on proposed central clearing delay for small financial counterparties

The European Securities and Markets Authority (ESMA) has published today a consultation paper proposing to change the phase-in period for central clearing of OTC derivatives applicable to financial counterparties with a limited volume of derivatives activity under the (...)

July 2016

Regulation ESMA identifies scope for greater EU harmonisation in prospectuses approval

The European Securities and Markets Authority (ESMA) has today published a peer review on the efficiency and effectiveness of European Union (EU) national securities markets regulators’ approval of prospectuses, the disclosure documents prepared by issuers when they want to (...)

June 2016

Regulation ESMA reminds firms of responsibilities when selling bail-in securities

The European Securities and Markets Authority (ESMA) has published a Statement reminding banks and investment firms (‘firms’) of their responsibility to act in their clients’ best interests when selling bail-in-able financial (...)

May 2016

Regulation ESMA issues opinion on MiFID II standards on ancillary activities

The European Securities and Markets Authority (ESMA) has issued today an Opinion in response to a letter sent by the European Commission (Commission) asking to amend its draft RTS 20 under the Markets in Financial Instruments Directive (MiFID II) and Regulation (...)

May 2016

Regulation PSD2 and MIF Regulation create opportunities in Europe for those who can adapt, claims new PAY.ON white paper

PAY.ON, an ACI Worldwide company and a global partner for white label payment technology, has published in collaboration with First Annapolis a new white paper that explores the implications surrounding - and the opportunities arising from - the revised Payment Services (...)

May 2016

Regulation ESMA amends MiFID II standards on non-equity transparency and position limits

The European Securities and Markets Authority (ESMA) has issued today two Opinions proposing amendments to its draft Regulatory Technical Standards (RTSs) under the Markets in Financial Instruments Directive (MiFID II) and Regulation (...)

April 2016

Regulation ESMA finds room for improvement in national supervision of investment advice to retail clients

The European Securities and Markets Authority (ESMA) has today published a peer review on how national regulators assess compliance with MiFID’s suitability requirements when firms provide investment advice to retail (...)

February 2016

Regulation ESMA consults on implementation of the Benchmarks Regulation

The European Securities and Markets Authority (ESMA) has today published a Discussion Paper (DP) regarding the technical implementation of the incoming Benchmarks Regulation (BR)...

February 2016

Regulation ESMA resumes US CCP recognition process following EU-US agreement

The European Securities and Markets Authority (ESMA) welcomes the common approach announced today by the European Commission and the US Commodity Futures Trading Commission (CFTC) on the equivalence of CCP regimes.

February 2016

Regulation ESMA updates on supervisory work on closet index tracking

ESMA is concerned "Closet indexing" may harm investors as they are not receiving the service or risk/return profile they expect based on the fund’s disclosure documents while potentially paying higher fees compared to those typically charged for passive (...)

January 2016

Regulation ESMA publishes letter from European Commission on AIFMD passport

The European Securities and Markets Authority (ESMA) has published the letter it received from the European Commission (EC) in respect of its advice on the application of the Alternative Investment Fund Managers Directive (AIFMD) passport to non-EU AIFMs and AIFs, and ESMA’s (...)

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Regulation Solvency II: The conventions of the standard model and possible adverse effects

The Solvency II framework will change the way insurance companies address the investments performance in risky assets, by adding a new parameter to the traditional risk / reward tradeoff ....

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Regulation Basel III implementation: Basel Committee reports to G20 Leaders

The Basel Committee on Banking Supervision has today published a report for the G20 Leaders at their Summit in Hangzhou on 4-5 September.

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Regulation ESMA advises on extension of funds passport to 12 non-EU countries

The European Securities and Markets Authority (ESMA) has today published its Advice in relation to the application of the Alternative Investment Fund Managers Directive (AIFMD) passport to non-EU Alternative Investment Fund Managers (AIFMs) and Alternative Investment Funds (...)

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Regulation ESMA consults on proposed central clearing delay for small financial counterparties

The European Securities and Markets Authority (ESMA) has published today a consultation paper proposing to change the phase-in period for central clearing of OTC derivatives applicable to financial counterparties with a limited volume of derivatives activity under the (...)

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Regulation EDHEC-Risk Institute draws the French Government’s attention to the inadvisability of imposing a Tobin tax in France

In an open letter dated January 10, 2012 addressed to the French Prime Minister, EDHEC-Risk Institute has underlined the difficulties and risks associated with implementing a tax on financial transactions in France…

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Regulation ESMA finds room for improvement in national supervision of investment advice to retail clients

The European Securities and Markets Authority (ESMA) has today published a peer review on how national regulators assess compliance with MiFID’s suitability requirements when firms provide investment advice to retail (...)

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Regulation Contractual OPCVM: a flexible and secure tool at the disposal of French asset managers

The french contractual OPCVM, in its configuration post october 2008 application decree, is a tool with features of interest for management companies, investors and service providers.

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Regulation ESMA rules aim to curb excessive risk taking by alternative fund managers

The European Securities and Markets Authority (ESMA) has published final Guidelines on remuneration of alternative investment fund managers (AIFMs). The rules will apply to managers of alternative investment funds (AIFs) including hedge funds, private equity funds and real (...)

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Regulation ESMA approves EuroRating as a credit rating agency

The European Securities and Markets Authority (ESMA) has approved the registration of EuroRating Sp. z o.o., based in Poland, as a credit rating agency (CRA) under Article 16 of the CRA Regulation. The registration takes effect from 7 May (...)

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Regulation SEC will ban « flash trading »

Beyond the flash trading, the overall high-frequency trading strategies face scrutiny

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Regulation ESMA issues good practices for structured retail product governance

The European Securities and Markets Authority (ESMA) has published an opinion on structured retail products, setting out good practices for firms when manufacturing and distributing these products.

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Regulation Global banks appear well-prepared to meet TLAC requirements

The Financial Stability Board also released details on total loss-absorbing capacity, or TLAC, requirements that all 30 G-SIBs will need to meet. The rule requires that a bank have sufficient amounts of debt that could be bailed in to recapitalize it in times of (...)

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Regulation ESMA consults on implementation of the Benchmarks Regulation

The European Securities and Markets Authority (ESMA) has today published a Discussion Paper (DP) regarding the technical implementation of the incoming Benchmarks Regulation (BR)...

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Regulation CPSS IOSCO: principles for financial market infrastructures

Through 24 principles and five responsibilities, including significant details and commentary, the BIS’s Committee on Payment and Settlement Systems (CPSS) and IOSCO have addressed the risks faced by financial market infrastructures (...)

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Regulation Extension of the ban on the taking of net short positions in ten French securities of the financial sector

The Board of the AMF considered that the market conditions were not satisfactory to lift the said ban.

Focus

Regulation Regulatory prospects: 2012 and beyond

2009 was a year of intense reflection on the functioning of the financial sector. There followed an intense regulatory activity in 2010, unfortunately with few formal adoptions of regulations. 2011 marked the surge of the will to succeed with provisional schedules. Where do (...)

Focus

Solvency II

Solvency II: What is the impact of Solvency II for asset allocation? | Using of hedging strategies for portfolios via derivatives | Internal model or a standard model

Selection: Regulation

Note The impact of Solvency 2 on insurers asset allocation

Implications for asset allocation? Incitement to diversification? Optimization of the volatility hedging ratio ? Allocation depending on the level of wealth of the insurance company? Groupama AM updates on the impact of Solvency 2 for (...)

Note Challenges for Europe’s banks

Even in the seemingly unlikely case that a comprehensive solution to the sovereign crisis is found, the changed regulatory backdrop is a major challenge for the banks, and probably for the economy as a whole.

News Forex: the list of unauthorised websites in France

ACP and AMF update the list of unauthorised websites offering forex investments

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