1. ESG In recent years, environmental, social and governance (ESG) factors have become a key discussion point in the asset management industry, with many managers now incorporating ESG considerations into their investment...more
1/29/2021
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Biden Administration ,
Capital Requirements Regulation (CRR) ,
EMIR ,
Environmental Social & Governance (ESG) ,
Libor ,
MiFID II ,
Private Investment Funds ,
Regulatory Agenda ,
Regulatory Freeze ,
SFTR ,
UK Brexit
MiFID II – ESMA issues statement regarding the impact of a no-deal Brexit on the impact of the "share trading" obligation under Article 23 of MiFIR -
ESMA issued a statement on 19 March 2019 regarding the impact of Brexit...more
4/17/2019
/ Asset Management ,
EMIR ,
EU ,
EU Benchmark Regulation ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Investment Funds ,
MiFID II ,
MiFIR ,
No-Deal Brexit ,
Trade Repositories
AIFMD – ESMA issues draft guidelines on liquidity stress testing in UCITS and AIFs -
On February 5, ESMA issued a consultation paper on issuing liquidity stress test guidance for investment funds. The draft guidelines aim...more
3/18/2019
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Asset Management ,
EMIR ,
EU ,
European Economic Area (EEA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Investment Funds ,
Memorandum of Understanding ,
MiFID II ,
MiFIR ,
No-Deal Brexit ,
Transparency ,
UK Brexit
MiFID II – updated Q&As on MiFID II and MiFIR transparency topics and obligations on disclosure of information to clients in the context of Brexit -
ESMA updated its Q&As on 4 January on MiFID II and MiFIR transparency...more
2/12/2019
/ Anti-Money Laundering ,
Asset Management ,
Cryptoassets ,
Derivatives ,
EMIR ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Initial Coin Offering (ICOs) ,
International Regulatory Standards ,
Investment Funds ,
MiFID II ,
MiFIR ,
RegTech ,
Transparency ,
UK ,
UK Brexit
AIFMD - ESMA updates AIFMD Memoranda of Understanding ("MoUs") -
ESMA updated its list of MoUs on 17 July 2018, singed the EU regulatory authorities (17 July 2018) – Croatia and Slovenia are still to sign MoUs....more
8/10/2018
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Asset Management ,
CFD Trading ,
EMIR ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Investment Funds ,
Memorandum of Understanding ,
MiFID II ,
MiFIR ,
Pension Schemes ,
UK Brexit
MIFID II – end of “no LEI” exemption for transaction reporting; ESMA takes stock of MiFID II achievements -
ESMA confirmed on 20 June that the current exemption from using Legal Entity Identifiers for certain transactions...more
7/12/2018
/ Anti-Money Laundering ,
Asset Management ,
CCPs ,
CFD Trading ,
EMIR ,
EU ,
European Securities and Markets Authority (ESMA) ,
Investment Funds ,
Legal Entity Identifiers ,
MiFID II ,
Money Market Funds ,
Reporting Requirements ,
UCITS
European Commission Publishes Legislative Proposals on Sustainable Finance Which Impacts Asset Managers
The EU Commission presented a package of measures on 24 May 2018, as a follow-up to its action plan on financing...more
6/13/2018
/ Asset Management ,
EMIR ,
EU ,
EU Benchmark Regulation ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Institutional Investors ,
Investment Funds ,
Investor Protection ,
MiFID II ,
MiFIR ,
Popular ,
Short Selling ,
Sustainable Business Practices ,
UCITS
MIFID II – EMSA updates Q&As on commodity derivatives topics and asks European Commission to clarify “ancillary activity” test under MiFID II -
ESMA updated its Q&As on 27 March 2018 on commodity derivatives topics...more
5/16/2018
/ Asset Management ,
CFD Trading ,
Clearing Agencies ,
Commodities ,
Derivatives ,
EMIR ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Investment Funds ,
MiFID II ,
MiFIR ,
Retail Investors
AIFMD - Updated MoUs -
ESMA updated its table of EEA regulators on 15 March with who has signed MoUs with non-EEA regulators, for the purposes of cross-border marketing of AIFs. Slovenia and Croatia are still to sign up...more
4/9/2018
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Asset Management ,
Cross-Border Transactions ,
EMIR ,
EU ,
European Economic Area (EEA) ,
European Securities and Markets Authority (ESMA) ,
Investment Funds ,
Memorandum of Understanding ,
Pension Funds ,
Proposed Amendments ,
Risk Mitigation ,
UCITS
Commission Delegated Regulation (EU) 2015/2205 (the “Regulation”) supplementing the European Markets Infrastructure Regulation (“EMIR”) was published on 1 December in the Official Journal of the European Union....more