News & Analysis as of

Consultation European Securities and Markets Authority (ESMA)

Barnea Jaffa Lande & Co.

MiCA and Reverse Solicitation

Non-EU or non-MiCA compliant entities that want to offer or provide crypto-asset services to clients in the EU must be aware of the newly drafted guidelines from the European Securities and Markets Authority (ESMA). The...more

Goodwin

Crypto Regulation in Europe: ESMA Statement Clarifies process for the Transition to MiCA

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On 17 October 2023, the European Securities and Markets Authority (ESMA) published a statement (the Statement) clarifying the timeline for implementation of the Regulation on Markets in Cryptoassets ((EU) 2023/1114) (MiCA)...more

Latham & Watkins LLP

EU Consults on Plans for a New Regulatory Regime for ESG Ratings Providers

Latham & Watkins LLP on

An evolving landscape of reforms in the ESG ratings sector continues to pose challenges to providers of ratings and scores. International momentum to regulate ESG ratings continues as the European Commission released a...more

Goodwin

ESAs propose adjustments to the EU SFDR rules

Goodwin on

On 12 April 2023, the European Banking Authority, European Securities and Markets Authority and European Insurance and Occupational Pensions Authority (the ESAs) published a joint consultation paper on a review of the...more

Goodwin

Horizon Scan for Private Investment Funds: Key Recent and Expected Funds, Regulatory and Tax Developments to Look Out For

Goodwin on

Welcome to our January 2023 Horizon Scan, where we focus on some of the principal recent and expected developments and changes that we expect to be of interest to those in the non-listed funds sector. We have grouped the...more

Latham & Watkins LLP

6 Sustainability Takeaways in EU Antitrust & Regulatory - December 2022

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Latham lawyers highlight key takeaways and developments in the sustainability space from the second half of the year. ...more

Latham & Watkins LLP

ESMA Consults on ESG-Related Amendments to Its Suitability Guidelines

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Proposed changes seek to reflect the integration of sustainability considerations into MiFID II. The European Securities and Markets Authority (ESMA) is consulting on updates to its Guidelines on the MiFID II suitability...more

Latham & Watkins LLP

ESMA Publishes Guidance on SPACs

Latham & Watkins LLP on

ESMA warns against investor protection risks and provides guidance on expected disclosures. On 15 July 2021, ESMA published a statement on the prospectus disclosure and investor protection issues raised by special...more

Latham & Watkins LLP

Private Bank Briefing – June 2021

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The latest edition of our Private Bank Briefing provides a roundup of legal and compliance issues impacting private banks and their clients from Q2 2021. In this edition, we cover sustainable finance developments, the...more

Latham & Watkins LLP

New Draft Regulatory Technical Standards Under the EU Benchmarks Regulation

Latham & Watkins LLP on

The draft RTS introduce new, potentially more onerous obligations on the administrators of all categories of benchmarks. Key Points: ..The draft RTS contain new guidance that makes clear who is responsible for which...more

Latham & Watkins LLP

Key Takeaways from ESMA’s recent MiFID Transparency Consultation Papers

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ESMA’s consultation papers on MiFID non-equities SI and equities transparency regimes propose important changes. Key Points: ..ESMA’s recent consultation papers on the MiFID transparency regime raise queries and make...more

A&O Shearman

European Securities and Markets Authority Launches Consultation on Credit Ratings Agencies’ Internal Control Functions

A&O Shearman on

The European Securities and Markets Authority has launched a consultation on its proposed guidelines setting out the criteria that Credit Ratings Agencies should have in place to demonstrate that their internal control...more

A&O Shearman

European Securities and Markets Authority Consults on Alignment of EU Trading and Clearing Obligations

A&O Shearman on

The European Securities and Markets Authority has published a consultation paper on aligning the trading obligation under the Markets in Financial Instruments Regulation with the recent changes made to the clearing obligation...more

Latham & Watkins LLP

Review of the EU Benchmarks Regulation

Latham & Watkins LLP on

European Commission review will inform potential future legislative change. Key Points: ..The European Commission is seeking views on various aspects of the regime, and asking for feedback on areas in which improvements...more

BCLP

ESMA consults on MAR

BCLP on

ESMA has published a consultation paper seeking views on various provisions of the Market Abuse Regulation (MAR).  These include revisions to the protections created by the market soundings regime, an assessment of the...more

Latham & Watkins LLP

Italian Securities Exchange Commission Announces Market Practice on Liquidity Contracts

Latham & Watkins LLP on

The measure is intended to align market practice with the principles laid down under the European market abuse regulation. The Italian Securities and Exchange Commission (Commissione Nazionale per le Società e la Borsa, or...more

Latham & Watkins LLP

FCA Proposes Permanent Product Intervention Measures for Retail CFDs and Binary Options

Latham & Watkins LLP on

The rules will echo ESMA’s temporary measures, however the FCA will extend the CFD restriction to capture closely substitutable products (such as turbo certificates). The FCA has launched two consultations on: ..Banning...more

A&O Shearman

EU Supervisory Authority Consults on Proposed Guidelines on Money Market Fund Reporting Requirements

A&O Shearman on

The European Securities and Markets Authority has launched a consultation on proposed Guidelines for Money Market Fund Managers, to assist them in complying with their obligations, under the Money Market Funds Regulation, to...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Swaps, Brexit, EEA Passport Rights and MLD4

EU /BREXIT DEVELOPMENTS - EEA Passport Rights Regulations 2018 Published - On November 7, the European Economic Area (EEA) Passport Rights (Amendment, etc., and Transitional Provisions) (EU Exit) Regulations 2018...more

A&O Shearman

EU Supervisory Authorities Propose Revisions to Implementing Technical Standards for Mapping of External Credit Ratings

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The Joint Committee of the European Securities Authorities (that is, the European Banking Authority, the European Securities and Markets Authority and the European Insurance and Occupational Pensions Authority) has published...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on CFTC Proposed CPO and CTA Regulations, Brexit Statutory Instruments and...

CFTC - CFTC Approves Proposed Regulations for CPOs and CTAs - On October 9, the Commodity Futures Trading Commission approved proposed rules intended to simplify regulations for commodity pool operators (CPOs) and...more

A&O Shearman

Proposed Revisions to EU Guidelines on Stress Testing of Money Market Funds

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The European Securities and Markets Authority has opened a consultation on proposed updates to the Guidelines on stress test scenarios for Money Market Funds under the Money Market Fund Regulation. The MMF Regulation has...more

A&O Shearman

EU Consultation on Revised Guidelines on Periodic Reporting by Credit Rating Agencies

A&O Shearman on

The European Securities and Markets Authority has launched a consultation on proposed revised Guidelines on periodic reporting by credit rating agencies. Under the EU Credit Rating Agencies Regulation, ESMA is responsible for...more

A&O Shearman

European Securities and Markets Authority Seeks Feedback on Proposed Risk Factors Guidelines Under the Prospectus Regulation

A&O Shearman on

The European Securities and Markets Authority has published a consultation paper setting out draft guidelines for national regulators on risk factors under the Prospectus Regulation. ESMA has prepared the draft guidelines...more

A&O Shearman

EU Consultation on Extending the Exemption From the Clearing Obligation for Intragroup Transactions with Third Country Group...

A&O Shearman on

The European Securities and Markets Authority has opened a consultation on the exemption from the clearing obligation for intragroup transactions with a third country group entity. There are three Regulatory Technical...more

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