Browse Related Topics For:

European Securities and Markets Authority (ESMA)

627
EU
217
EMIR
154
AIFMD
148
Financial Markets
141
Derivatives
134
MiFID II
128
SEC
125
European Commission
114
UK
111
CFTC
87
MiFID
86
Financial Conduct Authority (FCA)
74
Financial Institutions
73
European Banking Authority
71
UCITS
70
Banks
68
RTS
62
Investment Funds
61
AIFM
58
Banking Sector
55
CCPs
55
MiFIR
53
OTC
48
FINRA
48
RMBS
45
Asset Management
45
Rating Agencies
44
EU Market Abuse Regulation (EU MAR)
44
Financial Regulatory Reform
44
Regulation Technical Standards (RTS)
42
Compliance
42
Enforcement Actions
42
Swaps
38
Capital Markets
37
Disclosure Requirements
36
Financial Sector
35
Federal Reserve
35
Reporting Requirements
34
Capital Requirements
33
EIOPA
31
Commodities
31
Dodd-Frank
31
EBA
31
Securities
30
Alternative Investment Funds
29
FDIC
28
Broker-Dealer
28
Financial Instruments
28
IOSCO
26
Hong Kong
26
OCC
26
Prudential Regulation Authority
25
Investment Management
25
Technical Standards
24
EEA
23
Investment Adviser
23
Market Abuse
23
Remuneration
22
Benchmarks
22
Central Counterparties
21
Cybersecurity
21
DOJ
21
Stress Tests
21
Transparency
20
Capital Requirements Regulation (CRR)
20
Virtual Currency
19
CFPB
19
Corporate Governance
19
Derivatives Clearing Organizations
19
European Central Bank
18
Enforcement
18
Regulatory Standards
17
Basel Committee
17
BRRD
17
Cross-Border
17
Financial Services Industry
17
Insurance Industry
17
ISDA
16
Australia
16
China
16
Fitch
16
Fund Managers
16
Solvency II
15
EU Directive
15
Member State
14
Capital Markets Union
14
Credit Rating Agencies
14
Cross-Border Transactions
14
FHFA
14
FSB
14
Investors
14
Moody's
14
NFA
14
Security-Based Swaps
13
Anti-Money Laundering
13
Bitcoin
13
Canada
13
ECON
13
EU Passport
13
Foreign Banks
13
Foreign Exchanges
13
Fraud
13
Insider Trading
13
Interest Rate Swaps
13
Money Market Funds
13
Mortgages
13
Securities Litigation
13
Short Sales
13
Singapore
12
ASIC
12
Bank of England
12
DBRS
12
Hedge Funds
12
Libor
12
Market Participants
12
Memorandum of Understanding
12
Risk Management
12
Swap Clearing
12
Trade Market Abuse
12
UK Brexit
11
AML-CTF
11
Consultation
11
CRD IV Directive
11
Disclosure
11
Exchange-Traded Products
11
High Frequency Trading
11
Japan
11
Money Laundering
11
Prospectus
11
Trade Repositories
11
Trading Platforms
11
Transparency Directive
10
Basel III
10
Credit Ratings
10
Equity Markets
10
FinCEN
10
Implementing Technical Standards (ITS)
10
JPMorgan Chase
10
Mandatory Clearing Requirements
10
Margin Requirements
10
Risk Assessment
10
Securitization
10
Supervision
9
AIF
9
Bank of America
9
Conflicts of Interest
9
Counterparties
9
Crowdfunding
9
Equivalency Determinations
9
Forex
9
FSOC
9
Germany
9
Investment Firms
9
Marketing
9
No-Action Relief
9
OCIE
9
Private Placements
9
Recordkeeping Requirements
9
Securities Fraud
9
Shadow Banking
9
Structured Financial Products
9
Whistleblowers
8
Alternative Investment Fund Managers Directive
8
Asia
8
Clearing Agencies
8
CME
8
Commercial Bankruptcy
8
Credit Default Swaps
8
ELTIF
8
Executive Compensation
8
Greece
8
HM Treasury
8
IFRS
8
Investor Protection
8
Loans
8
Luxembourg
8
Popular
8
PRA
8
Proposed Amendments
8
Proposed Regulation
8
Regulatory Oversight
8
Risk Retention
8
SCOTUS
8
SEFs
8
U.S. Treasury
8
Volcker Rule
7
Annual Reports
7
Audits
7
Brokers
7
Dark Pool
7
Deutsche Bank
7
Distressed Debt
7
EDGAR
7
FinTech
7
Interest Rates
7
Investment
7
Investment Companies
7
NCAs
7
NYSE
7
Pension Schemes
7
Ponzi Scheme
7
Regulatory Agenda
7
Risk Mitigation
7
Sanctions
7
Securities Financing Transactions (SFTs)
7
Settlement
7
Shareholders
7
Small Business
6
AIFMD Passport
6
Asia Pacific
6
BaFin
6
Blockchain
6
Board of Directors
6
Class Action
6
Code of Conduct
6
CRA
6
CSDR
6
Data Protection
6
Due Diligence
6
ESRB
6
EU Benchmark Regulation
6
European Supervisory Authorities (ESAs)
6
Fiduciary Duty
6
Financial Services Authority
6
Freddie Mac
6
Futures
6
ISS
6
Liquidity
6
Loan Origination Funds
6
Mary Jo White
6
Morgan Stanley
6
National Private Placement Regimes (NPPR)
6
PDMR
6
Pensions
6
Private Equity
6
Prudential Standards
6
Short Selling
6
SMEs
6
Voting Rights
5
Accredited Investors
5
ALJ
5
BIS
5
Call for Evidence
5
Canadian Securities Administration
5
CBOE
5
Chief Compliance Officers
5
Commodity Pool
5
Consumer Financial Products
5
Covered Bonds
5
CPO
5
CPOs
5
Cross-Selling
5
CSSF
5
Emerging Growth Companies
5
ETFs
5
EU Single Market
5
Exemptions
5
Fannie Mae
5
FCMs
5
FCPA
5
Final Rules
5
Financial Reporting
5
Financial Transaction Tax
5
G-SII
5
G20
5
Hong Kong Securities and Futures Commission (HKSFC)
5
Information Reports
5
JOBS Act
5
Major Swap Participants
5
Market Manipulation
5
Mexico
5
Motion to Dismiss
5
MTFs
5
Mutual Funds
5
NCUA
5
Pay Ratio
5
Peer Review
5
Proxy Advisors
5
Proxy Season
5
S&P
5
Securities Exchanges
5
SFTR
5
Spoofing
5
Structured Finance
5
Swap Dealers
5
Switzerland
5
Third Country Entities
4
Algorithmic Trading
4
Appeals
4
Arbitration
4
BitLicense
4
Bonds
4
Breach of Duty
4
Capital Formation
4
Citigroup
4
CMBS
4
Collateral
4
Comment Period
4
Competition
4
Confidential Information
4
Conflict Mineral Rules
4
Corporate Social Responsibility
4
Criminal Prosecution
4
CTA
4
Deposit Insurance
4
Depository Institutions
4
Disruptive Trading Practices
4
Distributed Ledger
4
Employee Benefits
4
Endangered Species Act (ESA)
4
Extraterritoriality Rules
4
FATCA
4
Final Guidance
4
Financial Crisis
4
Foreign Investment
4
France
4
FSMA
4
G-SIB
4
Goldman Sachs
4
Infrastructure
4
Insolvency
4
Jurisdiction
4
Legal Entity Identifiers
4
Lehman Brothers
4
Liquidity Risk Management Rule
4
Listing Standards
4
London Stock Exchange
4
Mining
4
MLD4
4
New Guidance
4
OCR
4
OECD
4
Oil & Gas
4
Ontario Securities Commission (OSC)
4
Packaged Retail And Insurance-Based Investment Products (PRIIPS)
4
PCAOB
4
Proprietary Trading
4
Proxy Voting Guidelines
4
Puerto Rico
4
Regulation A
4
Retail Investors
4
Ring-Fencing
4
SFC
4
Shareholder Proposals
4
Stock Exchange
4
UBS
4
Venture Capital
4
Wells Fargo
3
Administrative Hearings
3
Administrative Proceedings
3
AIFS
3
AIM
3
AMF
3
Asset-Backed Securities
3
Bank of New York (BNY) Mellon
3
Bank Secrecy Act
3
Bankruptcy Code
3
Barclays
3
Central Bank of Ireland
3
CONSOB
3
Corporate Officers
3
Counterparty Risk
3
Credit Cards
3
Credit Suisse
3
CTFC
3
Data Collection
3
DCMs
3
Debt Restructuring
3
Delays
3
Discussion Draft
3
Dismissals
3
Diversity
3
DOL
3
Economic Sanctions
3
EFTA
3
Equity Plans
3
EU Transparency Directive
3
EURIBOR
3
European Court of Justice (ECJ)
3
Examination Priorities
3
False Claims Act (FCA)
3
Fees
3
FFIEC
3
Fines
3
Fixing America’s Surface Transportation Act (FAST Act)
3
FOIA
3
Free Trade Agreements
3
FX Swaps
3
HKEx
3
Hong Kong Stock Exchange
3
HUD
3
Indictments
3
International Harmonization
3
IRS
3
Liquidity Coverage Ratio
3
Management Companies
3
Meeting Minutes
3
Merrill Lynch
3
Mortgage Credit Directive (MCD)
3
Mortgage-Backed Securities
3
MREL
3
MSRB
3
Municipal Bankruptcy
3
Nasdaq
3
National Futures Association
3
No-Action Letters
3
Non-Financial Firms
3
Passports
3
Payment Systems
3
Penalties
3
Portfolio Managers
3
Proxy Access Rule
3
PSLRA
3
Qualified Mortgage Rule
3
Referendums
3
Registration Requirement
3
Regulation D
3
Regulation S-K
3
Reinsurance
3
REMIT
3
Repurchases
3
Risk Alert
3
Safe Harbors
3
SEC Examination Priorities
3
Securities Exchange Act
3
Shareholder Litigation
3
SIFIs
3
Small Credit Institutions
3
Social Media
3
South Africa
3
Special Purpose Entities
3
Strategic Enforcement Plan
3
Terrorism Funding
3
Threshold Requirements
3
UK Competition and Markets Authority (CMA)
3
Underwriting
3
US Bank
3
Valuation
2
Ability-to-Repay
2
AFG
2
Annuities
2
Anti-Terrorism Financing
2
Appointments Clause
2
Article 50 Treaty of the EU
2
Attorney's Fees
2
Audit Committee
2
Bail-In Provisions
2
Bank Guarantees
2
Bankruptcy Court
2
BEA
2
BEPS
2
Bermuda
2
Bernie Madoff
2
BlackRock
2
Block Trades
2
Breach of Contract
2
Business Advice
2
Business Continuity Plans
2
C-Suite Executives
2
Casinos
2
Cayman Islands
2
CCMR
2
CEOs
2
CFOs
2
Chapter 9
2
Clawbacks
2
Collateralized Debt Obligations
2
Commission Delegated Regulation
2
Commodity Broker
2
Commodity Interest
2
Community Banks
2
Compensation & Benefits
2
Competition Authorities
2
Complex Financial Products
2
Consumer Lenders
2
Cooperation Initiative
2
Corporate Professional Investors
2
Countrywide
2
Credit
2
Creditors
2
Cybersecurity Framework
2
Data Security
2
Debt Enforcement & Recovery Act (DERA)
2
Defend Trade Secrets Act (DTSA)
2
Department of Financial Services
2
Deposit Accounts
2
Designated Contract Market
2
DMO
2
Draft Guidance
2
DSIO
2
Electronic Trading
2
End-Users
2
Energy Sector
2
ERISA
2
EU Central Securities Depository Directive
2
European Merger Control Regulation
2
Failure To Disclose
2
FATF
2
Federal Savings Associations
2
FERC
2
Filing Requirements
2
Financial Adviser
2
Financial Statements
2
FINMA
2
FINREP
2
Fixed Income Investments
2
FLSA
2
Foreign Corporations
2
Foreign Markets
2
Foreign Sovereigns
2
Form 10-K
2
Form ADV
2
Forum Selection
2
Forward Contracts
2
FTC
2
FX Forwards
2
GAAP
2
Gaming
2
Glass Lewis
2
Global Systemically Important Financial Institutions (GSIFI)
2
Grace Period
2
Grandfathering Rules
2
Greenhouse Gas Emissions
2
Hackers
2
Harmonization Rules
2
Hedging
2
HQLA
2
HSBC
2
Incentive Compensation
2
Inducements
2
Information Sharing
2
Innovation
2
Internal Controls
2
International Data Transfers
2
Investment Advisers Act of 1940
2
Investment Portfolios
2
IPO
2
Ireland
2
Island of Guernsey
2
Italy
2
Latin America
2
Lenders
2
Lending
2
Liquidation
2
Madden v Midland Funding
2
Mandatory Arbitration Clauses
2
Market Soundings
2
Mergers
2
Middle East
2
Midland Funding
2
MMF
2
Mortgage Lenders
2
NASD
2
Natural Gas
2
NDFs
2
Net Stable Funding Ratio (NSFR)
2
Netherlands
2
New Legislation
2
New Regulations
2
Non-Equity Financial Instruments
2
North Korea
2
OIG
2
Online Platforms
2
Originators
2
Passporting
2
Pay-for-Performance
2
Payday Loans
2
Pension Funds
2
Personal Liability
2
Price Manipulation
2
Private Equity Funds
2
Private Funds
2
Private Investment Funds
2
Proposed Legislation
2
Proxy Statements
2
REIT
2
Resource Extraction
2
Retail Market
2
Romania
2
Royal Bank of Scotland
2
Rule 506(d)
2
Rulemaking Process
2
Scienter
2
Securitization Market
2
Self-Regulatory Organizations
2
Senior Managers
2
Shareholder Rights
2
Spain
2
SPVs
2
Summary Judgment
2
Supervisory Highlights
2
Suspicious Activity Reports (SARs)
2
Tax Evasion
2
Technology
2
Tick Size
2
Time Extensions
2
Transaction Reporting
2
Truth in Lending Act (TILA)
2
TTIP
2
UCITS V
2
Uncleared Swaps
2
United States
2
Unsecured Debt
2
Wages
2
Waivers
2
Wash Trades
2
WTO
1
ABS
1
Accountants
1
Accounting Standards
1
Acquisitions
1
Administrative Appointments
1
Administrative Resignation
1
Advisory Committee
1
Advisory Opinions
1
Aetna
1
Africa
1
AIG
1
Akamai Technologies
1
Al-Qaeda
1
ALFI
1
Alternative Trading Systems
1
Amended Legislation
1
Anheuser-Busch
1
Anthem Blue Cross
1
Anti-Competitive
1
Antitrust Litigation
1
Appraisal
1
Arbitration Agreements
1
Article 29 Working Party (WP29)
1
Article 9
1
Asset Diversification
1
Asset Freeze
1
Asset-Based Lending
1
Assignees
1
ATS
1
Attorney Generals
1
Auditors
1
Australian Securities and Investments Commission
1
Austria
1
Automotive Loans
1
Bailout
1
Bank Holding Company Act
1
banking
1
Banking Examinations
1
BATS Exchange
1
BCBS
1
Bebo v SEC
1
Benchmarking
1
Beneficial Owner
1
Bilateral Agreements
1
BNP Paribas
1
Books & Records
1
Borrowers
1
BP
1
Brazil
1
Breach of Warranty
1
Bribery
1
Broker Commissions
1
Brokered Deposits
1
Brussels Convention
1
BSA/AML
1
Bulgaria
1
Burden of Proof
1
Buyback Programs
1
Bylaws
1
C&DIs
1
Capital Markets Authority
1
Capital Raising
1
Capital Rules
1
Captive Insurance Company
1
Carbon Emissions
1
Carried Interest
1
CCO
1
CEA
1
CFD Trading
1
Chapter 11
1
Charles Schwab
1
Check Cashing
1
Chief Risk Officers (CRO)
1
Choice-of-Law
1
CIGNA
1
CIMA
1
Citibank
1
Civil Monetary Penalty
1
CJEU
1
Class Certification
1
Clearing Members
1
Closed-End Funds
1
CME NYMEX
1
Co-Investment Rights
1
Collateral Agreements
1
Collective Investment Schemes
1
Color Marks
1
Commingling
1
Committee on Payments and Market Infrastructure (CPMI)
1
Commodity Futures Contracts
1
Commonwealth of Puerto Rico v Franklin California Tax-Free Trust
1
Community Reinvestment Act
1
Compensation Agreements
1
Competency Requirements
1
Comptroller
1
Confidential Supervisory Information
1
Confidentiality Agreements
1
Constitutional Challenges
1
Consultation Periods
1
Consumer Bankruptcy
1
Consumer Credit Act
1
Consumer Credit Protection
1
Consumer Financial Contracts
1
Consumer Protection Act
1
Consumer Reporting Agencies
1
Contests & Promotions
1
Controlled Foreign Corporations
1
COOs
1
Corporate Bonuses
1
Corporate Culture
1
Corporate Fines
1
Corporate Veil
1
Covenant of Good Faith and Fair Dealing
1
Covered Banking Entity
1
Covered Entities
1
Covered Funds
1
Cramdown
1
Credit Checks
1
Credit Unions
1
Criminal Sanctions
1
Cryptocurrency
1
CSRC
1
Currency Exchange
1
Customer Due Diligence (CDD)
1
Customs
1
Cyber Crimes
1
Cyber Insurance
1
Czyzewski v Jevic Holding Corp
1
De-Risking
1
Deadlines
1
Dealers
1
Debt
1
Debt Collection
1
Debt Market
1
Debtors
1
Declination
1
Delaware General Corporation Law
1
Delegation Clauses
1
Denmark
1
Deposit Guarantee Schemes Directive (DGSD)
1
Deposit Guarantee System
1
Derivative Suit
1
Detroit
1
Digital Currency
1
Digital Services
1
Direct Lending
1
Director Compensation
1
Disgorgement
1
Dispute Resolution
1
Disqualification
1
Distribution Rules
1
Double Jeopardy
1
Duty of Care
1
Earned Income Credit
1
EB-5
1
ECOA
1
EEO-1
1
EEOC
1
Effective Date
1
EFTs
1
EHR
1
Election Results
1
Electronic Blue Sheets
1
Elon Musk
1
Emerging Markets
1
Emissions Trading System
1
Employer Liability Issues
1
Employer Mandates
1
Encryption
1
Energy Exploration
1
Enforcement Authority
1
Entertainment Industry
1
Equity Research Rule
1
Estate Planning
1
Ethics
1
EU Council of Ministers
1
EU-US Privacy Shield
1
Euro
1
European Union Delegated Act (EUDA)
1
Eurozone
1
Evidence
1
Exceptions
1
Excessive Fees
1
Exchange Offer
1
Exclusions
1
Extradition
1
Facebook
1
Fair Housing Act (FHA)
1
Fair Lending
1
False Statements
1
Farm Credit Administration
1
Fashion Design
1
FCRA
1
FDCPA
1
Federal Bank Regulatory Agencies
1
Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015
1
Federal Housing Administration (FHA)
1
Federal Trademark Register
1
FICC
1
FICC Market Standards Board (FMSB)
1
FICOD
1
Filing Deadlines
1
Final Drafts
1
Financial Action Task Force
1
Financial Crimes
1
Financial Products
1
Financial Services and Markets Act
1
Financial Services Committee
1
Financial Stability Acts
1
Financial Transactions
1
FIRREA
1
FISMA
1
Flash Boys
1
Flood Insurance
1
FOMC
1
Foreclosure
1
Foreign Branches of U.S. Banks
1
Foreign Entities
1
Foreign Equivalency Determination
1
Foreign Issuers
1
Foreign Jurisdictions
1
Foreign Nationals
1
Foreign Official
1
Foreign Ownership
1
Foreign Private Issuers
1
Form D Filing
1
Form PF
1
FPC
1
Fraudulent Transfers
1
Fraudulent Wire Transfers
1
FRB
1
Free Movement
1
Funding
1
Funding Portal
1
Future Commission Merchants
1
Gambling
1
GAO
1
GDR Issuers
1
General Data Protection Regulation (GDPR)
1
General Solicitation
1
Global Depositary Receipts (GDRs)
1
Global Economy
1
Global Market
1
Globally Harmonized System
1
GMAC
1
Governance Standards
1
Government Bonds
1
Government Investigations
1
Government Shutdown
1
Green Bonds
1
Guidance Update
1
Hague Convention
1
Handbooks
1
Hart-Scott-Rodino Act
1
Healthcare
1
Hedges
1
High Net-Worth
1
Hillary Clinton
1
HMDA
1
HOEPA
1
Hong Kong’s Financial Services Development Council (FSDC)
1
Hostile Takeover
1
Housing Market
1
Humana
1
Husky International Electronics v Ritz
1
IAIS
1
IASB
1
ICE
1
Immigration Reform
1
Indemnity Agreements
1
Independent Boards
1
Information Security
1
Information Technology
1
Innovative Technology
1
Inside Information
1
Insider Information
1
Inspection Rights
1
Institutional Investment
1
Institutional Investors
1
Insurance Block Exemption Regulation (IBER)
1
Insurance Reform
1
Intellectual Property Protection
1
Intergovernmental Agreements
1
Internal Investigations
1
International Finance
1
International Financial Reporting Standards
1
International Labor Laws
1
Introducing Brokers
1
Inversion
1
Investment Company Act of 1940
1
Investment Fund Tax
1
Investment Products
1
IPO Sponsors
1
Iran Sanctions
1
ISDA Master Agreement
1
ISIS
1
Job Creation
1
Joint Comprehensive Plan of Action (JCPOA)
1
Joint Venture
1
Judge Rakoff
1
KBR (formerly Kellogg Brown & Root)
1
KBRA
1
Late Filer Rule
1
Legacy Funds
1
Leverage Capital Ratio
1
Leverage Ratio
1
Leveraged Loans
1
Liability Insurance
1
Limited Liability Company (LLC)
1
Limited Partnerships
1
LiquidAlts
1
Listing Rules
1
Loan Agreements
1
Loan Modifications
1
Loan Transfers
1
Logos
1
Long-Term Investment Funds
1
Managers
1
Market Making
1
Market Risk Capital Rule
1
MassMutual
1
Material Misstatements
1
Material Nonpublic Information
1
Material Violation
1
Meals-Gifts-and Entertainment Rules
1
Means Test
1
Media
1
Mens Rea
1
MetLife
1
Military Service Members
1
Mineral Exploration
1
Minimum Salary
1
Misappropriation
1
Misleading Statements
1
Mobile Devices
1
Monetary Authority of Singapore
1
Money Services Business
1
Moratorium
1
Mortgage Loan Servicing Standards
1
Mortgage Servicers
1
Mortgage Servicing Rules
1
Municipal Advisers
1
Municipal Bonds
1
Municipal Securities Issuers
1
Municipal Securities Market
1
NASAA
1
National Exchange
1
Negligent Misrepresentation
1
Non-Cleared Swaps
1
Non-GAAP Financial Measures
1
Non-Prosecution Agreements
1
Non-Public Information
1
Nonbank Firms
1
Nortek
1
North America
1
Norwegian Model
1
Notice Requirements
1
Notification Requirements
1
Novation
1
NPRM
1
NRSRO
1
NY Supreme Court
1
NYDFS
1
OFAC
1
Oil Prices
1
One-Stop Shop
1
Online Banking
1
Online Marketplace Lending
1
Open-Ended Fund Companies (OFCs)
1
Operating Agreements
1
Oppenheimer & Co.
1
Order Routing
1
OSHA
1
Over-the-Counter Sales
1
Over-Time
1
Pay-To-Play
1
Peregrine Financial Group
1
Personal Jurisdiction
1
Petition for Writ of Certiorari
1
PHI
1
Poland
1
Pooled Investment Vehicles
1
Preemption
1
Preliminary Injunctions
1
Premium Listed Issuers
1
Prepaid Payment Products
1
Presidential Elections
1
Privacy Laws
1
Privacy Notice Rule
1
Private Student Loans
1
Proceeds of Crime Act 2002 (POCA)
1
Prohibited Transactions
1
Promissory Notes