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July 17

Regulation ESMA issues sector-specific principles on relocations from the UK to the EU27

The European Securities and Markets Authority (ESMA) has published three Opinions setting out sector-specific principles in the areas of investment firms, investment management and secondary markets, aimed at fostering consistency in authorisation, supervision and (...)

Regulation

ESMA consults on the evaluation of the short-selling regulation

Regulation

ESMA issues principles on supervisory approach to relocations from the UK

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May 30

Regulation ESMA consults on Money Market Funds rules

The European Securities and Markets Authority (ESMA) has published a Consultation Paper (CP) on the Money Market Funds Regulation (MMFR).

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 (...)

April 5

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

The European Securities and Markets Authority (ESMA) has published a consultation paper (CP) on updating its Guidelines on the application of the endorsement regime under the CRA (Credit Rating Agencies) Regulation.

March 31

Regulation ESMA publishes final rules to ensure integrity of EU financial benchmarks

The European Securities and Markets Authority (ESMA) has published its final report containing the draft regulatory and implementing technical standards (RTS/ITS) under the Benchmarks Regulation (BMR)...

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 (...)

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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.

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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 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 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 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 Basel III: regulators seem to ignore market failures

The changes in our regulatory framework (BASEL 3) and the widespread use of inappropriate IFRS rules will not solve the imbalances of the international financial and economic system

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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 (...)

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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 (...)

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Regulation ESAs see continued risks in EU financial markets and call for rigorous action on assets and liabilities

The European Supervisory Authorities (ESAs) for securities (ESMA), banking (EBA), and insurance and occupational pensions (EIOPA) have today issued their August 2015 Joint Committee Report on Risks and Vulnerabilities in the EU financial (...)

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Regulation ESMA certifies Kroll Bond Rating Agency to operate in the EU

The European Securities and Markets Authority (ESMA) has formally approved the certification in the European Union of Kroll Bond Rating Agency Inc. (KBRA) under Article 16 of the CRA Regulation. The certification takes effect from 20 March (...)

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Regulation Regulations and investment funds

New European legal framework, offshore passports in issue, Benoit de la Chapelle-Bizot, Financial Counselor, Head of the French Government’s Economic and Finance Department, presents an update on recent regulatory developments relating to investment (...)

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Regulation Regulations and client expectations change status quo in wealth management industry

The status quo in the private banking and wealth management industry is changing as the focus shifts to client service and value delivery, according to PwC findings of 2011 Global Private Banking and Wealth Management Survey - Anticipating a New Age in Wealth (...)

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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 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 AMF publishes 2010 report on credit rating agencies

The AMF’s seventh annual report on credit rating agencies (CRAs) covers international regulatory developments, the European registration procedure and credit ratings.

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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