European Securities and Markets Authority

News & Analysis as of

Corporate and Financial Weekly Digest - Volume XI, Issue 5

SEC/CORPORATE - SEC Approves FINRA’s Funding Portal Rules - On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for...more

UK Financial Regulatory Developments - February #1

FMLC issues addendum to legal uncertainty for CCPs paper - FMLC and the US-based Committee on Capital Markets Regulation (CCMR) have issued an addendum to their comment paper on issues of legal uncertainty relating to...more

UK Financial Regulatory Developments - January 2016 #15

DWP issues guidance on pensions advice requirements - DWP has issued a factsheet for pension scheme providers on which pension benefits with a guaranteed annuity rate are safeguarded for the purpose of the new advice...more

ESMA and South African and Mexican Authorities to Cooperate Under EMIR on CCPs

On 26 January 2016, ESMA announced that had entered into a memorandum of understanding (MoU) with each of the Mexican Comisión Nacional Bancaria y de Valores (CNBV) and the South African Financial Services Board (FSB) under...more

European Supervisory Authorities Request Response from European Commissioner to Inconsistencies in Cross-Selling Legislation

On 26 January 2016, the Chairpersons of the European Supervisory Authorities (ESAs) (i.e. EBA, EIOPA and ESMA) sent a letter to the European Commissioner for the Directorate General Financial Stability, Financial Services and...more

ESMA Opinion Highlights Differences with the European Commission on the Main Indices and Recognized Exchanges Under CRR

On 19 December 2014, the European Securities and Markets Authority (ESMA) submitted to the European Commission draft implementing technical standards (ITS), pursuant to the Capital Requirements Regulation 575/2013, specifying...more

UK Financial Regulatory Developments - January 2016 #10

Treasury updates Iran sanctions - Treasury has issued a notice explaining the effects on sanctions against Iran of Implementation Day (I Day) under the Joint Comprehensive Plan of Action (JCPoA). I Day was 16 January, on...more

ESMA Publishes European Commission Letter on AIFMD Passport

On January 19, the European Securities and Markets Authority (ESMA) published on its website a letter it received from the European Commission (Commission), dated December 17, 2015. The letter is in response to guidance and...more

European Commission Letter to ESMA on Application of AIFMD Passport

On January 19, ESMA published a letter it has received from the European Commission relating to the application of the EU passport under the Alternative Investment Fund Managers Directive (2011/61/EU) (“AIFMD”) to non-EU...more

"MiFID II Expected to Have Significant Impact on Investment Managers"

When implemented, revisions to the EU’s Markets in Financial Instruments Directive (MiFID II) will radically change the regulation of EU securities and derivatives markets, and significantly impact the investment management...more

UK Financial Regulatory Developments - January 2016 #5

ESAs correct PRIIPs KID formulae - The European Supervisory Authorities (ESAs – EIOPA, ESMA and EBA jointly) have published corrections to two of the formulae in their consultation on draft regulatory technical standards...more

FCA Trade Association Roundtable on MiFID II Implementation

On January 6, the Financial Conduct Authority (FCA) held a roundtable (Roundtable) with trade associations to discuss the implementation of the revised and recast Markets in Financial Instruments Directive and the associated...more

SFTR and the Commodities Market – What will the impact be?

The Regulation on Transparency of Securities Financing Transactions (SFTR) was published in the Official Journal on 23 December 2015 and entered into force on 12 January 2016. At first glance it might appear that the...more

UK Financial Regulatory Developments - January 2016 #2

MoU between CMA and FCA on consumer protection powers - CMA has published on MoU establishing a framework for cooperation between CMA and FCA on the use of concurrent powers under consumer protection legislation. The...more

ESMA Publishes Consultation Guidelines on MiFIR

On December 23, 2015, the European Securities and Markets Authority (ESMA) published consultation guidelines (Guidelines) in relation to Markets in Financial Instruments (MiFIR). The Guidelines are intended to complement ESMA...more

ESMA consults on MiFIR guidelines

ESMA has issued a consultation on guidelines on transaction reporting, reference data, order record keeping and clock synchronisation under the Markets in Financial Instruments Regulation (MiFIR)....more

ESMA publishes MAD supervision follow-up

ESMA has published a report following up on its peer review of supervisory practices under the Market Abuse Directive (MAD). The report includes assessments of the practices of the authorities in Bulgaria, Iceland,...more

Orrick's Financial Industry Week in Review

The PRA Publishes Guidance on Financial Conglomerate Waivers - On January 4, the Prudential Regulation Authority ("PRA") published guidance on the application and supplementary forms that should be submitted by firms...more

Current Status of the Clearing Obligation Under EMIR

Although EMIR came into force as long ago as August 2012, the clearing obligation it provides for was first brought into effect in December 2015 on a phased basis and only for certain interest rate swaps denominated in the G4...more

The Financial Report - Volume 5, No. 1 January 2016 (Global)

Discussion and Analysis Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, announced in FINRA’s 11th annual Regulatory and Examination Priorities Letter, published earlier this week, that...more

ESMA Publishes Peer Review Report on Compliance with SSR Regarding Market Making Activities

On January 5, the European Securities and Markets Authority (“ESMA”) published a peer review report aimed at assessing how national competent authorities (“NCAs”) apply the exemption for market making activities foreseen in...more

EP extends ESA Chair terms

EP has approved the extension of the terms of the Chairs of the European Supervisory Authorities (EBA, ESMA and EIOPA) for a further five years following the expiry of their current terms...more

ESMA reports on investment firms

ESMA and EBA have published a report on the prudential requirements for investment firms. The report looks at the purpose of prudential requirements and the interplay between the Markets in Financial Instruments Directive...more

ESMA consults on TR data access

ESMA is consulting on proposals to enhance the current functionalities offered by trade repositories (TRs) for data access under the European Market Infrastructure Regulation (EMIR)....more

ESMA issues MiFID 2 reporting ITS

ESMA has issued its final set of technical standards under the revised Markets in Financial Instruments Directive (MiFID 2). It has also published its final report, setting out the scope of its mandate and the reasons behind...more

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