Highlights

November 16

Regulation ESMA tells fund managers to improve readiness for future adverse shocks

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has published a Report on the preparedness of investment funds with significant exposures to corporate debt and real estate assets, for potential future adverse liquidity and (...)

Regulation

Will climate risks be incorporated into cost of capital calculations under Solvency 2?

Regulation

ESMA clarifies format for disclosure of risk factors in prospectuses

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December 2015

Regulation European swap clearing to start in June 2016

Firms will have to centrally clear certain classes of interest rate swaps starting from 21 June 2016. The clearing obligation in the Europe Union (EU) will enter into force following the publication of the relevant technical standards in the Official Journal on 1 December (...)

November 2015

Regulation EDHEC Risk regrets that the future text on European regulation of benchmarks organises opacity in the index provision market

An agreement between the European Parliament and the Council of the EU on a Regulation of financial benchmarks was found in the night of November 24 to 25, 2015. Unfortunately, this agreement does not respond to the criticism that EDHEC Risk Institute had (...)

November 2015

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 (...)

November 2015

Regulation SNL Financial: German landesbanken inch toward long-overdue consolidation

With a little help from Brussels, Germany is beginning to think the unthinkable.

October 2015

Regulation ESMA adds Index CDS to central clearing obligation

The European Securities and Markets Authority (ESMA) has today finalised and issued a draft regulatory technical standard (RTS) for the central clearing of Credit Default Swaps (CDS), ESMA is required to develop RTS which implement the European Market Infrastructure (...)

September 2015

Regulation ESMA readies MiFID II, MAR, and CSDR

The European Securities and Markets Authority (ESMA) today published its final technical standards (TS) on some of the most important pieces of post-crisis financial regulation: the Markets in Financial Instruments Directive (MiFID (...)

September 2015

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 (...)

July 2015

Regulation ESMA consults on UCITS remuneration guidelines

The European Securities and Markets Authority (ESMA) has launched a consultation on proposed Guidelines on sound remuneration policies under the UCITS V Directive and AIFMD. The Directive includes rules that UCITS must comply with when establishing and applying a (...)

March 2015

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 (...)

March 2015

Regulation ESMA publishes review on best execution supervisory practices under MiFID

The European Securities and Markets Authority (ESMA) has conducted a peer review on how national regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating to investment firms’ obligation to provide best execution, or obtain the (...)

October 2014

Regulation ECB’s in-depth asset quality review shows banks need to take further action

The European Central Bank (ECB) has today published the results of a thorough year-long examination of the resilience and positions of the 130 largest banks in the euro area as of 31 December 2013. The comprehensive assessment—which consisted of the asset quality review (AQR) (...)

July 2014

Regulation ESMA publishes accounting enforcement guidelines

The European Securities and Markets Authority (ESMA) has published its final Guidelines on the enforcement of financial information published by listed entities in the European Union (EU). The aim of the guidelines is to strengthen and promote greater supervisory convergence (...)

May 2014

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 (...)

March 2014

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.

March 2014

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 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 Amundi Alternative Investments obtains AIFM authorisation

Amundi Alternative Investments SAS (Amundi AI), a wholly-owned subsidiary of Amundi, has obtained AIFM authorisation from the French securities regulator (Autorité des Marchés Financiers) for all of its investment solutions. The AIFM directive, transposed by the EU member (...)

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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 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).

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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 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 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 Committee concludes assessment of Basel III capital regulations in Switzerland

The Basel Committee on Banking Supervision has today published a report assessing the regulations that implement the Basel capital framework in Switzerland.

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Regulation ESMA requires net short position holders to report positions of 0.1% and above

The European Securities and Markets Authority (ESMA) has issued a decision temporarily requiring the holders of net short positions in shares traded on a European Union (EU) regulated market to notify the relevant national competent authority (NCA) if the position reaches or (...)

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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.

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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 OTC transactions on derivative products will require collateral deposits!

The European Union wishes to increase the cost on purely speculative transactions. A proper system would be set up in order to allow non-financial companies to use derivative products for « legitimate» hedging reasons…

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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 adds Index CDS to central clearing obligation

The European Securities and Markets Authority (ESMA) has today finalised and issued a draft regulatory technical standard (RTS) for the central clearing of Credit Default Swaps (CDS), ESMA is required to develop RTS which implement the European Market Infrastructure (...)

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Regulation EIOPA investigates how ESG and climate risks will be included in Solvency 2

In March 2018, the European Commission adopted an action plan to integrate sustainable finance within the financial system. For this purpose it asked EIOPA and ESMA to submit proposals on how to take ESG and climate risks into account under Solvency 2 and the Insurance (...)

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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