Highlights

March 28

Regulation 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).

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Investors should join forces to demand better sell-side research

Regulation

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

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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 (...)

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 (...)

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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 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 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.

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Regulation Financial transactions taxation is applicable to France

According to the firm 99 Partners Advisory, it is possible, from now, to put in place a tax on financial transactions,

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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 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 issues MiFID II guidelines on cross-selling practices

The European Securities and Markets Authority (ESMA) has published its Guidelines on Cross-Selling Practices under MiFID II (guidelines) to ensure investors are treated fairly when an investment firm offers two or more financial products or services as part of a (...)

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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 (...)

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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 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 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)...

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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 Survey of European Insurers Reveals Remaining Challenges to Solvency II Compliance

A significant reliance on third parties for data, sophisticated risk modelling requirements and obtaining sufficiently detailed fund data were among the challenges identified by European insurers in order for them to meet Solvency II requirements, according to new research (...)

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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 AMF renews the short selling ban on financial sector

The Board of the Autorité des marchés financiers (AMF) renews the ban on taking net short positions in French securities of the financial sector

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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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