ESMA highlights areas for improvement in compliance with MiFID II suitability requirements
21 July 2021 MIFID – INVESTOR PROTECTION The European Securities and Markets Authority (ESMA), the...
ESMA sees small decrease in EEA prospectus approvals in 2020
20 July 2021 PROSPECTUS The European Securities and Markets Authority (ESMA), the EU’s securities markets...
ESMA publishes 2nd report on sanctions under AIFMD
20 July 2021 FUND MANAGEMENT The European Securities and Markets Authority (ESMA), the EU securities...
ESMA has updated its Q&As on AIFMD, UCITS, MiFIR data reporting, Prospectus, and BMR
The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has today updated...
ESMA publishes 4th annual report on use of sanctions for UCITS
20 July 2021 FUND MANAGEMENT The European Securities and Markets Authority (ESMA), the EU’s securities...
ESMA consults on remuneration requirements under MiFID II
19 July 2021 MIFID – INVESTOR PROTECTION The European Securities and Markets Authority (ESMA), the...
ESMA publishes its third report on CSDR implementation
16 July 2021 POST TRADING The European Securities and Markets Authority (ESMA), the EU’s securities...
EFAMA: Joint association letter on the CSDR Settlement Discipline implementation timeline
15 July 2021 | Policy Position On 14 July 2021, sixteen trade associations, representing buy-side,...
Inside Information: ESMA consults on MAR Guidelines amendments on delayed disclosure
15 July 2021 The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator,...
ESMA publishes methodology for assessing 3rd country CCPs systemic importance
Tuesday 13 July 2021 BOARD OF SUPERVISORS CCP DIRECTORATE POST TRADING The European Securities and...
ESMA warns about risks arising from payment for order flow and certain practices by “zero-commission brokers”
Tuesday 13 July 2021 ESMA warns firms and investors about risks arising from payment for...
ESMA launches public consultations on central counterparty (CCP) recovery regime
Monday 12 July 2021 The European Securities and Markets Authority (ESMA), the EU’s securities markets...
ESMA consults on the review of transparency requirements under MiFIR
Friday, 9 July 2021 The European Securities and Markets Authority (ESMA), the EU’s securities markets...
ESMA consults on derivatives clearing and trading obligations during benchmarks transition
9 July 2021 BENCHMARKS / POST TRADING The European Securities and Markets Authority (ESMA), the EU’s...
ESMA and EBA publish final guidance on fit and proper requirements
2 July 2021 MIFID – INVESTOR PROTECTION The European Securities and Markets Authority (ESMA) and the...