Regulation
All article related regulation within investment banking
Regulation
Regulation,
September 2018
Volatility spikes underline fragilities and risks to EU securities markets and investors
European Union (EU) securities markets, infrastructures and investors face new risks in the form of high volatility, the European Securities and Markets Authority (ESMA) said today in its latest Trends, Risks, and Vulnerabilities (TRV) Report (No 2, 2018). ESMA also (...)
Regulation,
March 2018
ESMA agrees to prohibit binary options and restrict CFDs to protect retail investors
The European Securities and Markets Authority (ESMA) has agreed on measures on the provision of contracts for differences (CFDs) and binary options to retail investors in the European Union (EU).
News,
January 2018
ESMA review finds good supervision of CCPs’ default management
The European Securities and Markets Authority (ESMA) has issued today the results of a peer review it conducted into how national competent authorities (NCAs) ensure that central counterparties (CCPs) comply with requirements under the European Markets Infrastructure (...)
Regulation,
July 2017
ESMA consults on the evaluation of the short-selling regulation
The European Securities and Markets Authority (ESMA) issues today a public consultation regarding its future technical advice to the European Commission (EC) on the Short-Selling Regulation (SSR)...
Regulation,
June 2017
ESMA issues principles on supervisory approach to relocations from the UK
The European Securities and Markets Authority (ESMA) has published an Opinion setting out general principles aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United (...)
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ESMA clarifies format for disclosure of risk factors in prospectuses