News & Analysis as of

EU Market Abuse Regulation (EU MAR) MiFIR

Hogan Lovells

Securities and Markets regulatory news, July 2021 #3

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Benchmarks (Provision of Information and Documents) Regulations 2021 The Benchmarks (Provision of Information and Documents) Regulations 2021 (SI 2021/812) have been published, together with an explanatory memorandum. The...more

Hogan Lovells

Securities and markets regulatory news, October 2020 # 2

Hogan Lovells on

MiFIR: FCA statement on trade reporting and position limit obligations - The UK Financial Conduct Authority (FCA) has published a statement on trade reporting and position limit obligations under the Markets in Financial...more

Dechert LLP

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

Dechert LLP on

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

A&O Shearman

European Securities and Markets Authority Publishes Its 2019 Priorities

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The European Securities and Markets Authority has published its Annual Work Programme for 2019, dated September 26, 2018. ESMA sets out its focus areas for 2019 and provides details of expected outputs within each of the...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on CA Law on Female Board Representation, Cross-Border Swaps Regulation,...

SEC/CORPORATE - California Adopts Law Regarding Female Representation on Boards of Directors of Publicly Held Companies - On September 30, California Governor Jerry Brown signed into law California Senate Bill 826 (SB...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Filing Obligations for OTC Securities, Customer Funds Training, Market...

BROKER-DEALER - FINRA Reminds Members of Obligations Related to OTC Securities Quoted by a Filed Form 211 - On September 24, the Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice (Notice)...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Topics on Broker-Dealer, CFTC, Brexit and UK and EU Developments

BROKER-DEALER - FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule - On March 23, the Financial Industry Regulatory Authority (FINRA) announced it is conducting a retrospective...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

France Welcomes Foreign and Alternative Capital Providers with Latest Reform of Finance Sector - Long a cornerstone of the French banking system, the "French banking monopoly" largely prevents non-bank entities from...more

Dechert LLP

Asset Management Regulatory Roundup - September 2017 - Issue 6

Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on Brexit: Impact on cross-border financial services contracts; cryptocurrency: initial...more

Hogan Lovells

Planning ahead: the FCA's 2017/18 Business Plan priorities and strategic framework

Hogan Lovells on

The FCA's latest Business Plan demonstrates a commitment to pushing forward on both existing and new initiatives across sectors, focused on maintaining fair consumer outcomes in the rapidly changing UK financial services...more

Dechert LLP

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

Dechert LLP on

EMIR - Spanish Pension Schemes Exempt and Updated Q&A - On 25 January, ESMA issued its opinion confirming the exemption from the EMIR clearing obligation for certain Spanish pension schemes....more

A&O Shearman

EU Reporting Instructions Released

A&O Shearman on

The European Securities and Markets Authority issued detailed reporting instructions and XML schema under its Financial Instruments Reference Data System...more

A&O Shearman

EU Secondary Legislation Under the Market Abuse Regulation on Investment Recommendations Published

A&O Shearman on

An EU Delegated Regulation containing Regulatory Technical Standards on investment recommendations under the Market Abuse Regulation was published in the Official Journal of the European Union. MAR will apply from July 3,...more

A&O Shearman

EU Level 2 Legislation on Market Soundings Published

A&O Shearman on

Two EU Delegated Regulations containing technical standards on the requirements relating to market soundings under the Market Abuse Regulation were published in the Official Journal of the European Union. MAR will apply from...more

A&O Shearman

EU Technical Standards on Preventing Market Abuse and Reporting Suspicious Transactions Published

A&O Shearman on

An EU Delegated Regulation containing Regulatory Technical Standards on preventing market abuse and reporting suspicious transactions under the Market Abuse Regulation was published in the Official Journal of the European...more

Goodwin

UK Referendum: Impact of ‘Brexit’ on UK/EU Financial Services

Goodwin on

There are two substantive issues: the first relates to the rules faced by UK firms in undertaking domestic UK financial services business and whether these will be amended/repealed since the UK will no longer be subject to...more

Orrick - Finance 20/20

European Parliament Votes to Postpone MiFID II Implementation until January 2018

Orrick - Finance 20/20 on

On June 7, 2016, the European Parliament published a press release announcing that it has voted to postpone the implementation of MiFID II (the MiFID II Directive (2014/65/EU)) and the Markets in Financial Instruments...more

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