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  • Article

    European Securities And Markets Authority Publishes Technical Standards On Consolidated Tape For Non-Equity Financial Instruments

    ESMA published a consultation paper containing draft RTS specifying the scope of the consolidated tape for non-equity financial instruments under the Markets in Financial Instruments Directive II.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    European Securities And Markets Authority Q&As On Anti-Money Laundering And Terrorist Financing In Investment-Based Crowdfunding Platforms

    On July 1, 2015, ESMA published Q&As on anti-money laundering and terrorist financing in investment-based crowdfunding platforms.
    European UnionFinance and Banking
A&O Shearman
A&O Shearman
  • Article

    European Securities And Markets Authority Registers New Credit Rating Agency

    On July 10, 2015, the European Securities and Markets Authority approved the registration of modeFinance S.r.l., as a credit rating agency under the Credit Rating Agencies Regulation.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    European Securities And Markets Authority Report On Central Counterparties Colleges Under European Market Infrastructure Regulation

    ESMA issued a report on its involvement with the supervisory colleges established under the European Market Infrastructure Regulation ("EMIR") for the authorization and supervision of EU-based central counterparties.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    European Securities And Markets Authority Reports On Credit Rating Agencies Monitoring

    The European Securities and Markets Authority published a report on the way credit rating agencies monitor DBRS Ratings, Fitch Ratings, Moody’s Investors Service and Standard & Poor’s.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    European Supervisory Authorities Discussion Paper On Use Of Credit Ratings

    On December 23, 2014, the ESAs issued a discussion paper on the use of credit ratings by financial intermediaries.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    European Supervisory Authorities Report On Risks And Vulnerabilities In The EU Financial System

    On April 7, 2016, the European Banking Authority, European Securities and Markets Authority and European Insurance and Occupational Pensions Authority (known as the Joint Committee of the European Supervisory Authorities) published a report identifying three main areas of risk and vulnerability affecting the stability of the EU financial system.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    European Supervisory Authority Withdraws Guidelines For Algorithmic Trading Controls

    On October 3, 2018, ESMA published a decision (dated September 26, 2018) of its Board of Supervisors to withdraw its existing Guidelines for trading platforms ...
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    Extension Of Transitional Provisions For Exposures To CCPs Formally Announced

    Lower capital requirements will be imposed for exposures to a QCCP than for exposures to a non-QCCP CCP.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    Final Draft Implementing Technical Standards On Supervisory Reporting For Liquidity Coverage Ratio

    The new instructions will only apply to banks – investment firms will continue to use current instructions and templates, at least for now.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    Final EU Guidelines For The Assessment Of Knowledge And Competence Under Mifid II

    The European Securities and Markets Authority published a final report and final guidelines on the assessment of knowledge and competence of individuals providing investment advice...
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    Final EU Guidelines On Transaction Reporting, Order Record Keeping And Clock Synchronization Published

    On October 10, 2016, ESMA published a Final Report providing its responses to the feedback on the proposed Guidelines on transaction reporting, order record keeping and clock synchronization under the MiFID II package.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    Final EU Standards On Disclosure Requirements For Encumbered And Unencumbered Assets

    On December 13, 2017, a Commission Delegated Regulation setting out Regulatory Technical Standards for the disclosure of encumbered and unencumbered assets was published in the Official Journal of the European Union.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    Final Regulatory Technical Standards On Margin For Uncleared Derivatives

    On March 8, 2016, the European Supervisory Authorities published final draft regulatory technical standards on risk-mitigation techniques, including details on specific operational procedures...
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    Further Secondary Legislation Under CRD IV Published

    Secondary legislation under the Capital Requirements Regulation and the Capital Requirements Directive was published in the Official Journal of the EU.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    Implementing Regulations Under Venture Capital Funds Regulation And Social Entrepreneurship Funds Regulation Published

    Implementing Regulations under the Venture Capital Funds Regulation and Social Entrepreneurship Funds Regulation were published.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    Latest EU Report On High Earners Published

    On February 2, 2017, the EBA published a Report on high earners using data accumulated as at the end of 2015. The CRD, as amended, imposes compensation requirements on banks for staff...
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    Luxembourg Referred To European Court Of Justice For Failure To Implement EU Legislation On Reducing Reliance On Credit Ratings

    On November 19, 2015, the European Commission announced that it had referred Luxembourg to the Court of Justice of the EU for failing to transpose the EU Directive on reducing over-reliance on credit ratings into national legislation.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    Payment Systems Regulator Established

    On 1 April 2014, the new Payment Systems Regulator ("PSR") was established, although it will only become operational in April 2015.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    Proposed Draft Technical Standards Under Financial Conglomerates Directive

    On 24 July 2014, the European Supervisory Authorities published proposed draft regulatory technical standards under the Financial Conglomerates Directive.
    European UnionFinance and Banking
    A&O Shearman
    A&O Shearman
  • Showing 781–800 of 7454 results

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