Markets in Financial Instruments Directive

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Financial Services Weekly News Roundup - December 2014 #4

Regulatory Developments - SEC Proposes Changes to Exchange Act Registration Requirements to Implement JOBS Act Mandates - The SEC announced that it is proposing rule amendments under the Securities Exchange Act...more

Bridging the Week - December 2014 #4

ESMA Publishes Implementing Rules for MiFID II - The European Securities and Markets Authority issued its final technical advice and initiated a consultation regarding proposed regulatory and technical standards...more

ESMA Releases Level 2 Regulations Under MiFID II

The European Securities and Markets Authority (“ESMA”) published today an important new set of rules under the revised Markets in Financial Instruments Directive (“MiFID II”). MiFID II came into force on 2 July 2014. It will...more

ESMA Reviews Supervisory Practices on MiFID Investor Information

On December 11, the European Securities and Markets Authority (ESMA) published a press release stating that it had conducted a review of how EU national regulators supervise conduct of business rules under the Markets in...more

Corporate and Financial Weekly Digest - Volume IX, Issue 48

In this issue: - Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements - SEC Approves MSRB Best Execution Rule - SEC Sanctions Operator of Unregistered Virtual...more

EU Securities Settlement – Changes Should Make UK Listings More Attractive to US-Based Issuers

Since the Markets in Financial Instruments Directive (“MiFID”) came into force in 2007, European legislators and market participants have sought to harmonise the diverging European securities settlement framework, with a view...more

ESMA Consults on Uniform Definition of EU Commodity Derivatives

The consultation paper aims to clarify the classifications of derivatives and provide a consistent approach for entities operating across the EU. The European Securities and Markets Authority (ESMA) recently published...more

Cross-Border EU Financial Services – a Guide for non-EU Firms

With all the discussion over the past couple of years on the Alternative Investment Fund Managers Directive and, in particular, marketing to investors in the European Union, less attention has been paid to the regulation of...more

MiFID II - Transaction Reporting

A transaction reporting regime has been in place at EU level for some time, albeit much was delegated to national implementation. Under MiFID II, the reporting regime will be overhauled and significantly extended in terms of...more

Non-EU investment firms’ access to EU investors under MiFID 2

The recast Markets in Financial Instruments Directive (MiFID 2), along with its accompanying Regulation (MiFIR), were published in the Official Journal of the EU in June. The new legislation is currently expected to come into...more

ESMA Compliance Table Relating to MiFID Remuneration

On October 7, the European Securities and Markets Authority (ESMA) published a guidelines compliance table relating to its guidelines on remuneration policies and practices under the Markets in Financial Instruments Directive...more

MiFID II: Commodity Derivatives and Emissions

MiFID II is the latest piece in a package of European and global reforms impacting commodity derivatives and emissions traders, drawn up in response to concerns as to excessive speculation and volatility in the commodities...more

MiFID II: The Regulation of Market Makers

MiFID II introduces new laws addressing various structural and other issues relating to the operation of trading venues. Market making activity on such venues will now be subject to extensive regulation. This includes a...more

ESMA Consults on Draft Guidelines Clarifying the Definition of “Derivatives” Under MiFID

On September 29, the European Securities and Markets Authority (ESMA) published a consultation paper (ESMA/2014/1189) (Consultation Paper) concerning the adoption of guidelines clarifying the definitions of “derivative” and...more

Corporate and Financial Weekly Digest - Volume IX, Issue 39

In this issse: - ISS Publishes Results of Annual Global Voting Policy Survey - FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System - NFA Issues Notice...more

Structured Thoughts: Volume 5, Issue 6 - August 2014

In This Issue: - European Product Intervention - FINRA Speaks at 2014 Structured Retail Products Conference - FINRA Approves Amendments to Communication Rules – Relief from Filing for Certain...more

Financial Regulatory Developments Focus - August 2014

In this issue: - Derivatives - Compensation - Recovery & Resolution - Bank Prudential Regulation and Regulatory Capital - Financial Market Infrastructure - Financial Services...more

No Forward Progress? MiFID sunset clause means continued uncertainty for regulatory status of FX contracts across Europe

In February this year, ESMA sent a letter (the ESMA Letter) to the European Commission asking them to clarify which types of FX contracts fall within the definition of a “financial instrument” under MiFID. Now, five months...more

Governance & Securities Law Focus: Asia Edition

In this issue: - ASIAN DEVELOPMENTS - HKEx Publishes Revised Connected Transaction Rules - US DEVELOPMENTS - SEC Developments - PCAOB Adopts Auditing Standard and Amendments -...more

Governance & Securities Law Focus: Europe Edition

In this issue: - EU DEVELOPMENTS - Statutory Audit Directive and Regulation Published in Official Journal - Council Adopts Intra-Corporate Transferees Directive - ESMA Publishes Consultation and...more

Speed Reader: FIA Europe’s Simon Puleston Jones making his way through MiFID II [Video]

EU regulation continues to wind its way through the system. That’s keeping Simon Puleston Jones a busy man. As chief executive of FIA Europe, he’s busy making his way through the EU’s 845-page consultation document that...more

Launch Of The MIFID II/MIFIR Consultation Process: ESMA's Consultation Paper 2014/549 and Discussion Paper 2014/548

The final legislative texts of the new Markets in Financial Instruments Directive ("MiFID II") and the Markets in Financial Instruments Regulation ("MiFIR") were adopted by the European Parliament on 15 April 2014 and by the...more

Financial Regulatory Developments Focus - May 2014

In this issue: - Derivatives - Regulatory Capital - Recovery & Resolution - Funds - Financial Services - Enforcement - Events - Excerpt from...more

Council of Europe adopts MiFID II

In October 2011, the European Commission released a proposal to amend and extend the Markets in Financial Instruments Directive (MiFID), referred to as MiFID II. The MiFID II proposals consist of revisions to MiFID, along...more

"UK Regulators Amend Dealing Commission Rules"

On 8 May 2014, the U.K.’s Financial Conduct Authority (the FCA) issued Policy Statement 14/7 containing rules clarifying aspects of the goods and services that U.K. asset managers can buy with dealing commission. The Policy...more

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