Browse Related Topics For:

European Securities and Markets Authority (ESMA)

602
EU
211
EMIR
149
AIFMD
145
Financial Markets
139
Derivatives
128
SEC
125
MiFID II
121
European Commission
111
UK
109
CFTC
86
MiFID
84
Financial Conduct Authority (FCA)
73
Financial Institutions
68
European Banking Authority
67
UCITS
66
Banks
65
RTS
61
AIFM
57
Banking Sector
57
Investment Funds
54
MiFIR
53
CCPs
53
OTC
48
FINRA
45
RMBS
44
Financial Regulatory Reform
42
Compliance
42
Enforcement Actions
42
EU Market Abuse Regulation (EU MAR)
42
Rating Agencies
41
Swaps
40
Asset Management
38
Capital Markets
38
Regulation Technical Standards (RTS)
37
Disclosure Requirements
35
Reporting Requirements
34
Federal Reserve
33
Capital Requirements
31
Dodd-Frank
31
EBA
31
EIOPA
31
Financial Sector
30
Alternative Investment Funds
29
Commodities
28
Broker-Dealer
28
FDIC
28
Financial Instruments
28
IOSCO
28
Securities
26
Hong Kong
26
Prudential Regulation Authority
25
Technical Standards
24
EEA
24
Investment Management
23
Investment Adviser
23
OCC
22
Benchmarks
22
Market Abuse
22
Remuneration
21
Central Counterparties
21
Stress Tests
20
Cybersecurity
20
DOJ
20
Virtual Currency
19
CFPB
19
European Central Bank
19
Transparency
18
Capital Requirements Regulation (CRR)
18
Corporate Governance
18
Derivatives Clearing Organizations
18
Enforcement
18
Regulatory Standards
17
Basel Committee
17
BRRD
17
Cross-Border
17
ISDA
16
Australia
16
China
16
Fund Managers
16
Insurance Industry
15
EU Directive
15
Financial Services Industry
15
Member State
15
Solvency II
14
Credit Rating Agencies
14
Cross-Border Transactions
14
FHFA
14
FSB
14
Investors
14
NFA
14
Security-Based Swaps
13
Anti-Money Laundering
13
Bitcoin
13
Canada
13
Capital Markets Union
13
EU Passport
13
Fitch
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
ECON
12
Hedge Funds
12
Libor
12
Market Participants
12
Memorandum of Understanding
12
Moody's
12
Risk Management
12
Swap Clearing
12
Trade Market Abuse
11
AML-CTF
11
Consultation
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
Equity Markets
10
FinCEN
10
Implementing Technical Standards (ITS)
10
Margin Requirements
10
Supervision
10
UK Brexit
9
Bank of America
9
Conflicts of Interest
9
Counterparties
9
CRD IV Directive
9
Credit Ratings
9
Crowdfunding
9
DBRS
9
Equivalency Determinations
9
FSOC
9
JPMorgan Chase
9
Marketing
9
OCIE
9
Private Placements
9
Recordkeeping Requirements
9
Risk Assessment
9
Securities Fraud
9
Shadow Banking
9
Structured Financial Products
9
Whistleblowers
8
AIF
8
Alternative Investment Fund Managers Directive
8
Asia
8
Clearing Agencies
8
CME
8
Credit Default Swaps
8
ELTIF
8
Executive Compensation
8
Forex
8
Germany
8
Greece
8
HM Treasury
8
IFRS
8
Investment Firms
8
Investor Protection
8
Luxembourg
8
Mandatory Clearing Requirements
8
Popular
8
PRA
8
SEFs
8
U.S. Treasury
8
Volcker Rule
7
Annual Reports
7
Audits
7
Brokers
7
Commercial Bankruptcy
7
Dark Pool
7
EDGAR
7
Interest Rates
7
Investment
7
Investment Companies
7
Loans
7
NCAs
7
No-Action Relief
7
NYSE
7
Ponzi Scheme
7
Proposed Amendments
7
Proposed Regulation
7
Regulatory Agenda
7
Regulatory Oversight
7
Risk Mitigation
7
Risk Retention
7
Sanctions
7
SCOTUS
7
Securities Financing Transactions (SFTs)
7
Securitization
7
Shareholders
7
Small Business
6
AIFMD Passport
6
Asia Pacific
6
Blockchain
6
Board of Directors
6
Class Action
6
Code of Conduct
6
CRA
6
CSDR
6
Deutsche Bank
6
Due Diligence
6
ESRB
6
EU Benchmark Regulation
6
Fiduciary Duty
6
Financial Services Authority
6
Freddie Mac
6
Liquidity
6
Mary Jo White
6
Morgan Stanley
6
National Private Placement Regimes (NPPR)
6
PDMR
6
Pension Schemes
6
Pensions
6
Private Equity
6
Prudential Standards
6
Short Selling
6
SMEs
6
Voting Rights
5
Accredited Investors
5
ALJ
5
BaFin
5
BIS
5
Call for Evidence
5
Canadian Securities Administration
5
CBOE
5
Chief Compliance Officers
5
Commodity Pool
5
Covered Bonds
5
CPO
5
CPOs
5
Cross-Selling
5
CSSF
5
Data Protection
5
Distressed Debt
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
FinTech
5
Futures
5
G-SII
5
G20
5
Hong Kong Securities and Futures Commission (HKSFC)
5
Information Reports
5
ISS
5
JOBS Act
5
Loan Origination Funds
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
Settlement
5
SFTR
5
Spoofing
5
Switzerland
5
Third Country Entities
4
Algorithmic Trading
4
Arbitration
4
BitLicense
4
Bonds
4
Breach of Duty
4
Capital Formation
4
Citigroup
4
Collateral
4
Comment Period
4
Confidential Information
4
Conflict Mineral Rules
4
Consumer Financial Products
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
European Supervisory Authorities (ESAs)
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
Major Swap Participants
4
Mining
4
MLD4
4
New Guidance
4
OCR
4
OECD
4
Oil & Gas
4
Ontario Securities Commission (OSC)
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
Structured Finance
4
Swap Dealers
4
UBS
4
Venture Capital
4
Wells Fargo
3
Administrative Hearings
3
Administrative Proceedings
3
AIFS
3
AIM
3
AMF
3
Appeals
3
Asset-Backed Securities
3
Bank of New York (BNY) Mellon
3
Bank Secrecy Act
3
Bankruptcy Code
3
Barclays
3
Competition
3
CONSOB
3
Corporate Officers
3
Counterparty Risk
3
Credit Cards
3
Credit Suisse
3
CTFC
3
Data Collection
3
DCMs
3
Delays
3
Discussion Draft
3
Dismissals
3
Diversity
3
DOL
3
Economic Sanctions
3
EFTA
3
EU Transparency Directive
3
EURIBOR
3
European Court of Justice (ECJ)
3
False Claims Act (FCA)
3
Fees
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
Strategic Enforcement Plan
3
Terrorism Funding
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
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
Central Bank of Ireland
2
CEOs
2
CFOs
2
Clawbacks
2
Collateralized Debt Obligations
2
Commission Delegated Regulation
2
Commodity Broker
2
Commodity Interest
2
Compensation & Benefits
2
Complex Financial Products
2
Consumer Lenders
2
Cooperation Initiative
2
Corporate Professional Investors
2
Countrywide
2
Credit
2
Creditors
2
Data Security
2
Debt Enforcement & Recovery Act (DERA)
2
Debt Restructuring
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
Equity Plans
2
ERISA
2
EU Central Securities Depository Directive
2
European Merger Control Regulation
2
Examination Priorities
2
Failure To Disclose
2
FATF
2
Federal Savings Associations
2
FERC
2
FFIEC
2
Filing Requirements
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
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
North Korea
2
OIG
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
Threshold Requirements
2
Tick Size
2
Time Extensions
2
Transaction Reporting
2
Truth in Lending Act (TILA)
2
TTIP
2
UK Competition and Markets Authority (CMA)
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
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
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
Bankruptcy Court
1
BATS Exchange
1
BCBS
1
Bebo v SEC
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
Chapter 11
1
Chapter 9
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
CMBS
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 Banks
1
Compensation Agreements
1
Competition Authorities
1
Comptroller
1
Confidential Supervisory Information
1
Confidentiality Agreements
1
Constitutional Challenges
1
Consultation Periods
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 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
Cybersecurity Framework
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 Adviser
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
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
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
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
Inversion
1
Investment Company Act of 1940
1
Investment Fund Tax
1
Investment Products
1
IPO Sponsors
1
Iran Sanctions
1
Ireland
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
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-Equity Financial Instruments
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
OFAC
1
Oil Prices
1
One-Stop Shop
1
Online Banking
1
Online Marketplace Lending
1
Online Platforms
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
1
Proportionality
1
Proposed Standards
1
Protecting Americans from Tax Hikes (PATH) Act
1
Prudential
1
PSD2
1
Public Comment
1
Public Disclosure
1
Rare Earth Metals
1
RBS
1
Reasonable Accommodation
1
Recapitalization
1
Recording Requirements
1
Redemption Agreement
1
Registration
1
Regulation AB II
1
Regulation AT
1
Regulation C
1
Regulation HH
1
Regulation SCI