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ARTICLE · 13 JUNE 2016

Upcoming EU Disclosure Requirements For Certain Collateral Arrangements

Ropes & Gray LLP
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The EU Regulation on Securities Financing Transactions provides a set of measures aiming to enhance regulators' and investors' understanding of "securities financing transactions".

European UnionFinance and Banking
Leigh R. Fraser
Leigh R. Fraser
Anna Lawry
Anna Lawry
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The EU Regulation on Securities Financing Transactions provides a set of measures aiming to enhance regulators' and investors' understanding of "securities financing transactions".

The regulation introduces three main requirements:

  • A dual-sided reporting obligation for securities financing transactions, similar to the reporting obligation that applies currently for derivatives under the European Market Infrastructure Regulation (EMIR).
  • An obligation for undertakings for collective investment in transferable securities (UCITS), or their management companies, and managers of alternative investment funds authorised in accordance with the EU Alternative Investment Fund Managers Directive to give detailed disclosure to investors and prospective investors of the fund's use of securities financing transactions and total return swaps.

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