European Securities and Markets Authority (ESMA) Derivatives

News & Analysis as of

ESMA Publishes New Methodology for Mandatory Peer Reviews of CCPS Authorization and Supervision Under EMIR

On January 5, 2017, the European Securities and Markets Authority (“ESMA“) published its methodology (ESMA71-1154262120-155) for mandatory peer reviews relating to the authorization and supervision of central counterparties...more

European Commission Adopts Delegated Regulation on RTS for the Application of Position Limits to Commodity Derivatives

On December 1, 2016, the European Commission adopted a Delegated Regulation supplementing the MiFID II Directive (2014/65/EU) in relation to regulatory standards (“RTS“) for the application of position limits to commodity...more

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

EMIR – Revised List of CCPs and New Rules to Mitigate Risks in Non-Cleared OTC Derivative Transactions ESMA updated its list on 29 September 2016 of third-country central counterparties recognised to offer services and...more

Final EU Guidelines on Information regarding Commodity Derivatives and Spot Markets

The European Securities and Markets Authority published a Final Report and final Guidelines on information expected or required to be disclosed on commodity derivatives markets or related spot markets under the Market Abuse...more

ESMA Issues Final Guidelines on Inside Information and Commodity Derivatives under MAR

On September 30, 2016, the European Securities Markets Authority (“ESMA“) published final guidelines (ESMA/2016/1412) on information relating to commodity derivatives disclosable under the Market Abuse Regulation (Regulation...more

European Securities and Markets Authority Publishes Initial Proposals on the Trading Obligation under MiFIR

The European Securities and Markets Authority published a discussion paper on the trading obligation for derivatives under the Markets in Financial Instruments Regulation. The trading obligation is applicable to classes of...more

European Supervisory Authorities Opines on Final Draft Technical Standards on Uncleared Derivatives

The Joint Committee of the European Supervisory Authorities published an Opinion on the European Commission's proposed amendments to the final draft Regulatory Technical Standards on risk mitigation techniques for uncleared...more

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

EMIR – Exemption for Danish Pension Schemes and Endorsement of Margin Requirements for Uncleared Derivatives - ESMA issued its opinion exempting certain Danish pension scheme from central clearing under EMIR on 3 August...more

Brexit: Overview of Potential Impact on Derivatives

The process of Brexit will take many years, and the implications for our clients’ businesses will unfold over time. Our MoFo Brexit Task Force is coordinating Brexit-related legal analysis across all of our offices, and...more

ESMA Updates Q&A on Application of UCITS Directive

The European Securities and Markets Authority (ESMA) has published an updated version of its Q&A paper on the application of the Undertakings for Collective Investment in Transferable Securities (UCITS) Directive (2009/65/EC)...more

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

AIFMD – ESMA Updates Q&A on the Application of the AIFMD - ESMA updated its questions and answers on the application of the AIFMD on 3 June 2016. The new content includes a new question and answer on requirements...more

Financial Services Quarterly Report - Second Quarter 2016: MiFID II: Key Considerations for Asset Managers

The Council of the European Union on 13 May 2014 formally endorsed a new regulatory regime that will replace the current Markets in Financial Instruments Directive (MiFID), which has been in force since 2007. The new...more

UK Financial Regulatory Developments - June 2016 #12

EBA publishes RTS on specialised lending exposures - EBA has published its final draft RTS on how institutions should take into account and treat several factors when assigning risk weights to specialised lending...more

UK Financial Regulatory Developments - June 2016 #4

ESMA publishes EU MAR Q&A - ESMA has published a Q&A document relating to practical issues surrounding the implementation of the Market Abuse Regulation (EU MAR). It clarifies the scope of firms subject to the EU MAR...more

European Commission Adopts Further Technical Standards Under MiFID II

The European Commission adopted two Delegated Regulations with Regulatory Technical Standards which will supplement the revised Markets in Financial Instruments Directive and the Markets in Financial Instruments Regulation. ...more

European Commission under MiFID II Requests Amendments to Draft Technical Standards

The European Commission published three separate letters rejecting European Securities and Markets Authority draft technical standards and requesting amendments in accordance with the Markets in Financial Instruments...more

Financial Regulatory Developments Focus - April 2016 #3

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

UK Financial Regulatory Developments - April 2016 #10

ESMA updates MAD Q&A - ESMA has published an updated version of its Q&A on the common operation of the Market Abuse Directive (MAD). A new question regarding investment recommendations has been added. (Source: ESMA...more

European Securities and Markets Authority Fines Trade Repository for Lack of Access to Trade Repository Data

The European Securities and Markets Authority published a decision of its board of supervisors that it had fined the trade repository DTCC Derivatives Repository Ltd EUR 64,000 for failing to provide regulators with access to...more

UK Financial Regulatory Developments - April 2016 #5

ESMA consults on EU MAR commodity and spot markets disclosures - ESMA is consulting on draft guidelines under the Market Abuse Regulation (EU MAR) setting out a non-exhaustive indicative list of information expected or...more

ESMA Consults on Guidelines on Disclosure of Information on Commodity Derivatives Markets or Related Spot Markets under MAR

On March 30, the European Securities and Markets Authority (“ESMA”) opened a public consultation on draft guidelines under the Market Abuse Regulation (“MAR”). ESMA is consulting on its proposed non-exhaustive indicative list...more

Corporate and Financial Weekly Digest - Volume XI, Issue 13

BROKER-DEALER - FINRA Proposes Amendment to Transactions in Exchange-Traded Managed Fund Shares Rule - On March 29, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a...more

European Securities and Markets Authority Consults on Proposed Guidelines on Information Regarding Commodity Derivatives and Spot...

The European Securities and Markets Authority launched a consultation on proposed guidelines on information expected or required to be disclosed on commodity derivatives markets or related spot markets under the Market Abuse...more

"Derivatives Regulators Reach Agreement on Cross-Border Harmonization for Central Clearing Counterparties"

Recent regulatory actions by the U.S. Commodity Futures Trading Commission (CFTC) and the European Commission (EC) are bringing an end to years of negotiation on how to regulate central clearing counterparties (CCPs)...more

Draft RTS on Risk-Mitigation Procedures for OTC Derivatives Not Cleared by CCPs Published by EU Supervisory Authorities

On March 8, the European Supervisory Authorities (which includes the European Banking Authority (EBA), the European Insurance and Occupational Pensions Authority and the European Securities and Markets Authority) published...more

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