Highlights

September 12

Regulation 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

ESMA agrees to prohibit binary options and restrict CFDs to protect retail investors

Regulation

Investors should join forces to demand better sell-side research

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September 2017

Regulation ESMA sees valuation risk at highest levels due to financial weakness and geopolitical uncertainty

The European Securities and Markets Authority (ESMA)’s latest report on Trends, Risks and Vulnerabilities No. 2, 2017 (TRV) identifies high asset price valuations as the major risk for European financial markets in the second half of (...)

July 2017

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 (...)

July 2017

Regulation 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)...

June 2017

Regulation 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 (...)

May 2017

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 2017

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 2017

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 2017

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 (...)

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Regulation Solvency II: Advantage convertible bonds

The results of QIS 5 confirmed that convertible bonds bear low capital cost. A balanced-profile convertible bond portfolio with optimized convexity therefore obtains a moderate intrinsic SCR whilst benefiting from «equity» (...)

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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 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 EDHEC-Risk Institute warns European Parliament on opacity in index regulation proposal

In an open letter addressed to the Chair of the European Parliament ECON committee, Roberto Gualtieri on February 20, 2015, EDHEC-Risk Institute has expressed its concern about the new draft text which is being proposed for a vote by the committee on March 9, which plans to (...)

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Regulation ESMA approves Spread Research as a credit rating agency

The European Securities and Markets Authority (ESMA) has formally approved the registration of Spread Research SAS, based in France, as a credit rating agency (CRA) under Article 16 of the CRA Regulation. The registration takes effect from 1 July (...)

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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 (...)

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Regulation The future of project-based mechanisms in Durban: the European Union has a role to play

With some 4,000 initiatives registered to date, the Clean Development Mechanism (CDM) and Joint Implementation (JI) have proved their usefulness for reducing emissions and attracting investments. However, this success could be called into question in the absence of a clear (...)

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Regulation Towards protection of swaps user margin and more scrutiny on high frequency trading

The SEC is considering whether new requirements should be imposed on high frequency trading and what benefits market makers should get for meeting those obligations. In the meantime the CFTC moves forward to protect swaps user margin from peer (...)

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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 tells firms to improve their selling practices for complex financial products

The European Securities and Markets Authority (ESMA) has published an Opinion on practices to be observed by investment firms when selling complex financial products to investors. ESMA is issuing this opinion to remind national supervisors and investment firms about the (...)

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Regulation ESMA consults on major shareholders disclosures

The European Securities and Markets Authority (ESMA) has launched a consultation on draft Regulatory Technical Standards (RTS) under the revised Transparency Directive relating to the notification of major shareholdings and the indicative list of financial instruments (...)

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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 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 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 (...)

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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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