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 (...)
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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 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 (...)
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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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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 measures to promote sustainability in EU capital markets
The European Securities and Markets Authority (ESMA) has today launched three public consultations on sustainable finance initiatives to support the European Commission’s (EC) Sustainability Action Plan in the areas of securities trading, investment funds and credit rating (...)
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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 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 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 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 (...)
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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 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 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 (...)
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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) (...)
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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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