News & Analysis as of

Financial Instruments MiFIR

Hogan Lovells

Financial institutions general regulatory news, August 2021

Hogan Lovells on

Draft Markets in Financial Instruments, Benchmarks and Financial Promotions (Amendment) (EU Exit) Regulations 2021 HM Treasury has published a draft version of the Markets in Financial Instruments, Benchmarks and Financial...more

Hogan Lovells

Securities and markets regulatory news, July 2020 #4

Hogan Lovells on

Brexit: ISDA updates FAQs - HM Treasury has published a policy statement explaining the government's reasons for extending the transitional period for third-country benchmarks under the retained EU law version of the...more

Akin Gump Strauss Hauer & Feld LLP

MiFID II Update – Non-EU Trading Venue Equivalence for Transparency and Position Limits

On 3 June 2020, the European Securities and Markets Authority (ESMA) published two Opinions clarifying how European Union investment firms trading financial instruments on third-country trading venues (TCTVs) should, from 3...more

A&O Shearman

EU Recommendations for Alignment of the EU Derivatives Trading and Clearing Obligations

A&O Shearman on

The European Securities and Markets Authority has published a final report and recommendations on aligning the trading obligation under the Markets in Financial Instruments Regulation with recent changes made to the clearing...more

A&O Shearman

EU Recommendations on MiFID II Product Intervention Amendments

A&O Shearman on

The European Securities and Markets Authority has published Technical Advice on the impact and functioning of the product intervention rules in the Markets in Financial Instruments Regulation. MiFIR gives ESMA powers...more

A&O Shearman

European Securities and Markets Authority Issues Call for Evidence on Product Intervention Measures

A&O Shearman on

The European Securities and Markets Authority has issued a call for evidence on the impact of its product intervention powers prohibiting the marketing, distribution and sale of binary options to retail clients and imposing...more

A&O Shearman

EU Restrictions on Contracts for Difference Lifted in Wake of National Measures

A&O Shearman on

The European Securities and Markets Authority has announced that it will not again renew its product intervention measure for Contracts for Differences. ESMA's product intervention powers under the Markets in Financial...more

A&O Shearman

EMIR Refit: EU Clarification on Derivatives Trading and Clearing Obligations

A&O Shearman on

The European Securities and Markets Authority has issued a Statement clarifying the application and interaction of the EU derivatives clearing and trading obligations following the entry into force of the revised European...more

A&O Shearman

UK Conduct Regulator Proposes Banning the Sale to Retail Clients of Derivatives Referencing Crypto-Assets

A&O Shearman on

The U.K. Financial Conduct Authority has launched a consultation proposing to restrict the sale, marketing and distribution of derivatives and exchange-traded notes that reference certain types of unregulated, transferable...more

A&O Shearman

EU to Lift Temporary Ban on the Sale of Binary Options to Retail Clients in Wake of National Measures

A&O Shearman on

The European Securities and Markets Authority has ended its temporary prohibition on the marketing, distribution or sale of binary options to retail clients. ESMA's product intervention powers under the Markets in Financial...more

Orrick - Finance 20/20

ESMA Renews Prohibition on Binary Options for Additional Three Months

Orrick - Finance 20/20 on

On February 18, the European Securities and Markets Authority (“ESMA“) published a press release stating that it has agreed to extend the prohibition of the marketing, distribution or sale of binary options to retail clients...more

A&O Shearman

EU Supervisory Authority Will Extend Binary Options Ban Into 2019

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The European Securities and Markets Authority has announced that it proposes to renew the prohibition on the marketing, distribution or sale of binary options to retail clients for a further three months from January 2, 2019....more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

Division of Investment Management of the SEC Issues No-Action Letter to SSB - On May 8, 2018, the Chief Counsel's Office of the Division of Investment Management ("IM") of the Securities and Exchange Commission (the...more

A&O Shearman

European Securities and Markets Authority Confirms Product Intervention for Contracts for Difference and Binary Options

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The European Securities and Markets Authority has confirmed that it will use its product intervention powers under the Markets in Financial Instruments Regulation to prohibit the marketing, distribution and sale of binary...more

Orrick, Herrington & Sutcliffe LLP

Legal Entity Identifiers under MiFID II

From 3 January 2018 all legal entities (no matter where they are based or incorporated) involved in buying, selling or issuing financial instruments on EU regulated markets, multilateral trading facilities or organised...more

Orrick - Finance 20/20

FIA Reports on MiFID II/MiFIR Compliance for US FCMs

Orrick - Finance 20/20 on

On July 7, 2017, the Futures Industry Association (“FIA“) published a compliance brief on the impact of the revised European Markets in Financial Instruments Directive (“MiFID II“) and Markets in Financial Instruments...more

Proskauer Rose LLP

Regulation Round Up - June 2017

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2 June - The ESMA published its final report on guidelines on product governance requirements under the MiFID II Directive (2004/65/EU). The guidelines (set out in Annex IV) to the final report aim to promote greater...more

Orrick - Finance 20/20

European Commission Adopts Delegated Regulation on RTS Relating to Maintenance of Relevant Data Relating to Orders in Financial...

Orrick - Finance 20/20 on

On June 24, 2016, the European Commission adopted a Delegated Regulation and annex supplementing the Markets in Financial Instruments Regulation (Regulation 600/2014) (“MiFIR“) with regard to regulatory technical standards...more

Orrick - Finance 20/20

ESMA Publishes Opinion on MiFIR II RTS on Ancillary Activities

ESMA has published an opinion proposing amendments to its draft technical standards (“RTS“) under the MiFID II Directive (2014/65/EU) and the Markets in Financial Instruments Regulation (Regulation 600/2014) (MiFIR) relating...more

Orrick - Finance 20/20

ESMA Publishes 2016 Work Program

Orrick - Finance 20/20 on

On October 7, 2015 the European Securities and Markets Authority (ESMA) published its 2016 work program. The key priorities for 2016 will be: Supervisory Convergence: ESMA’s focus will shift increasingly from rulemaking to...more

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