European Union European Securities and Markets Authority (ESMA)

The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of... more +
The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -
News & Analysis as of

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

EMIR - Spanish Pension Schemes Exempt and Updated Q&A - On 25 January, ESMA issued its opinion confirming the exemption from the EMIR clearing obligation for certain Spanish pension schemes....more

Corporate News - March 2017

A new era for the UK's capital markets? FCA publishes proposals to reform the UK's capital markets and IPO process - The FCA has published a package of measures to reshape and enhance the UK's primary markets. These are...more

European Commission Requests Technical Advice for Prospectus Regulation Implementation

The European Commission has published a request to the European Securities and Markets Authority for technical advice on possible delegated acts under the Prospectus Regulation. The Prospectus Regulation has been agreed but...more

Orrick's Financial Industry Week In Review

SEC Approves Rules to Ease Investor Access to Exhibits in Company Filings - On March 1, 2017, the Securities and Exchange Commission (SEC) voted to adopt rule and form amendments that will require issuers to include a...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Central Bank Publishes Feedback Statement on CP105 - The Central Bank published its Feedback Statement on CP105 on 19 January 2017. CP105 sets out proposed amendments to the Central Bank UCITS Regulations in light of...more

Final Draft EU Technical Standards on Pre-trade Transparency Requirements for Package Orders Published

The European Securities and Markets Authority has published a final report and final draft Regulatory Technical Standards on pre-trade transparency rules for package orders under the Markets in Financial Instruments...more

Brussels Regulatory Brief: March

On 8 February 2017, the Commission announced it had imposed fines totaling almost EUR 68 million on three companies for participating in a cartel to fix purchase prices of scrap lead-acid automotive batteries. The cartel...more

Committee on Payments and Market Infrastructures Publishes Analytical Framework of Distributed Ledger Technology

The Committee on Payments and Market Infrastructures published a report on distributed ledger technology in payment, clearing and settlement. In the context of payment, clearing and settlement, DLT enables entities to carry...more

Funds Bulletin - February 2017

Funds Bulletin (a monthly round-up of topical legal, regulatory and tax issues affecting the fund industry). Features our summary of the FSCP's position paper on the impact of Brexit on financial services consumers, as well...more

ESMA Publishes Final Report and Delegated Regulation Containing Final Draft RTS on Package Orders Under MIFID II

On February 28, 2017, the European Securities and Markets Authority (“ESMA“) published a final report on final draft Regulatory Technical Standards (“RTS“) on the treatment of package orders under Article 9(6) of the Markets...more

Regulators Prepare for Innovation in Distributed Ledger Technology

Regulators across the globe are considering how existing regulations may accommodate the development of new distributed ledger technologies (“DLT”) (also known as “blockchain”). In just the first two months of 2017, the U.S....more

Regulation Round Up - February 2017

The FCA and PRA announced changes to enforcement process with the aim of strengthening the transparency and effectiveness of enforcement decision-making processes. Some of the changes have already come into force, the rest...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

AIFMD - ESMA Updates Q&As on the Application of the AIFMD - ESMA updated its Q&As on 16 December on the application of the AIFMD. The revised Q&As include one updated question and answer on reporting obligations by...more

European Securities and Markets Authority Concerned About MiFID II Loopholes

The European Securities and Markets Authority published a letter, dated February 1, 2017, from it to the European Commission about the potential for loopholes to be exploited in the revised Markets in Financial Instruments...more

Currency Hedging Survives ESMA UCITS Share Class Cull

For the past two years, the European Securities and Markets Authority (“ESMA”), Europe’s main securities regulator, has had UCITS share classes in their sights. It has issued two discussion papers on the topic and has now...more

The CSSF's position in respect of ESMA's Opinion on UCITS' Share Classes

On 13 February, 2017 the Luxembourg Financial Regulator (Commission de Surveillance du Secteur Financier –CSSF) announced its position in respect of ESMA’s opinion by issuing press release n°17/06. The CSSF expects UCITS...more

ESMA Issues Report on Distributed Ledger Technology

On February 7, 2017, the European Securities and Markets Authority (“ESMA“) published a report regarding distributed ledger technology (“DLT“). DLT is a developing technology that has the potential to significantly alter...more

The Financial Report, Volume 6, Number 3

The Ninth Circuit Court of Appeals in San Francisco is poised to rule on, with respect to President Donald Trump’s recent executive order on immigration, the question of how much power a president has to issue executive...more

European Authority Rules Out Regulating Distributed Ledger Technology for Now

The European Securities and Markets Authority published a Report on the application of Distributed Ledger Technology to the securities markets. Distributed ledgers, sometimes referred to as blockchains, are essentially...more

Revised EU Commodity Derivatives Position Reporting Standards Published

The European Securities and Markets Authority published revised final draft Implementing Technical Standards on the format of position reports by market operators and investment firms. The revised Markets in Financial...more

ESMA Publishes Report on Distributed Ledger Technology

On February 7, 2017, the European Securities and Markets Authority (“ESMA”) released a Report on Distributed Ledger Technology (“DLT”) (also known as “blockchain” technology) Applied to Securities Markets (the “Report”) that...more

ESMA Publishes Guide on Major Holdings Notifications

On February 3, 2017, a guide was published by ESMA that looked at major holdings notifications under the Transparency Directive. The Transparency Directive established a minimum level of information that needed to be provided...more

European Securities and Markets Authority Announces Details of 2017 EU-Wide CCP Stress Test

The European Securities and Markets Authority announced details of the 2017 EU-wide CCP stress test exercise...more

European Securities and Markets Authority Requests a Review of its Sanctioning Powers Under the European Market Infrastructure...

The European Securities and Markets Authority published an open letter to the European Commission asking it to consider several issues relating to its supervisory and sanctioning powers under the European Market...more

Corporate News - February 2017

A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law. Please see...more

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Cybersecurity

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