In this issue:

- Derivatives

- Compensation

- Regulatory Capital

- Financial Market Infrastructure

- Financial Services

- Consumer Protection

- Enforcement

- People

- Events

- Excerpt from Derivatives:

European Commission Publishes Delegated Regulation on OTC Derivative Transactions, CCPs andTrade Repositories -

On 13 March 2014, the European Commission published a delegated Regulation on procedures for penalties imposed on trade repositories by the European Securities and Markets Authority (“ESMA”) under the European Market Infrastructure Regulation (“EMIR”). It will now be for the Council of the EU and the European Parliament to consider the delegated Regulation, which will come into force on the third day following publication in the Official Journal of the European Union.

Please see full newsletter below for more information.

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Topics:  Asset Management, Banks, Broker-Dealer, Derivatives, EU, Financial Regulatory Reform, Investment Funds, OTC

Published In: Finance & Banking Updates, International Trade Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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