News & Analysis as of

Regulation Technical Standards (RTS)

European Securities and Markets Authority Consults on Amending Systematic Internalisers' Quote Rules

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published a consultation proposing amendments to the Regulatory Technical Standards on the equity transparency obligations of trading venues and investment firms (Commission...more

EU Sets Out Rules for National Regulators on Passporting under the Revised Payment Services Directive

by Shearman & Sterling LLP on

A Delegated Regulation has been published in the Official Journal of the European Union setting out Regulatory Technical Standards for the cooperation and exchange of information between EU national regulators that are the...more

European Banking Authority Consults on Prudential Consolidation Methods

by Shearman & Sterling LLP on

The European Banking Authority has launched a consultation on the draft Regulatory Technical Standards on the methods of prudential consolidation under the Capital Requirements Regulation. The CRR provides that banks,...more

Corrigendum to Delegated Regulation Relating to Passporting Under MiFID II Published in OJ

The Official Journal of the EU (OJ) has published a corrigendum to Commission Delegated Regulation ((EU) 2017/1018) supplementing the MiFID II Directive (2014/65/EU) with regard to regulatory technical standards (RTS)...more

EU Technical Standards on Acquisitions of Qualifying Holdings in Investment Firms Published

by Shearman & Sterling LLP on

A Commission Delegated Regulation with Regulatory Technical Standards on the information requirements for notification by a proposed acquirer of its proposed acquisition of a qualifying holding of an investment firm under the...more

EU Technical Standards on Investment Firm Authorization Published

by Shearman & Sterling LLP on

A Commission Delegated Regulation with Regulatory Technical Standards on information and requirements for the authorization of investment firms under the revised Markets in Financial Instruments Directive has been published...more

EU Technical Standards Assisting Regulators Gain Access to Derivatives Trade Data Published

by Shearman & Sterling LLP on

A Commission Delegated Regulation amending the Regulatory Technical Standards on data to be published and made available by trade repositories and operational standards for aggregating, comparing and accessing the data was...more

EU Final Draft Technical Standards on the Trading Obligation for Derivatives Published

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published a final Report and final draft Regulatory Technical Standards on the trading obligation for derivatives under the Markets in Financial Instruments Regulation. The...more

ESMA Publishes Responses to June 2017 Consultation on RTS Trading Obligations for Derivatives under MiFIR

On August 10, 2017, the European Securities and Markets Authority (“ESMA“), published responses to its June 2017 consultation on trading obligations for derivatives under the Markets in Financial Instruments Regulation...more

Proposed Technical Standards on Criteria for Application of Simplified Obligations under the BRRD

by Shearman & Sterling LLP on

The European Banking Authority has launched a public consultation on draft Regulatory Technical Standards, further specifying the eligibility criteria to determine whether firms should be subject to simplified obligations...more

Article 30 of the EMIR Margin Rules and the Covered Bond Exemption

by White & Case LLP on

The new rules that implement the margin requirements under the risk mitigation obligations as set out in EMIR, create a specific regime for hedging arrangements that are entered into in relation to covered bonds. This article...more

European Securities and Markets Authority Publishes Final Secondary Measures for Reporting of Securities Financing Transactions

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published a report and final draft Implementing and Regulatory Technical Standards for the Securities Financing Transactions Regulation. The majority of the SFTR came into...more

Understanding PSD2: Key Points to Know About the Upcoming Regime

by Latham & Watkins LLP on

New directive disrupts the EU payments regulatory regime. A series of Client Alerts will follow ongoing developments related to PSD2. Key Points: ..By expanding the accessibility of customer account information,...more

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

by Dechert LLP on

BaFin Publishes Revised "MaComp" Covering Rules of Conduct, Organization and Transparency for Investment Services Enterprises - BaFin published the revised “MaComp” on 8 March 2017. The MaComp (Governing Rules of...more

Final Draft EU Standards on Disclosure Requirements for Encumbered and Unencumbered Assets

by Shearman & Sterling LLP on

The European Banking Authority has published a report and final draft Regulatory Technical Standards on the disclosure of encumbered and unencumbered assets. The final draft RTS will supplement the Capital Requirements...more

Final EU Standards on the Prudential Requirements for Central Securities Depositories Published

by Shearman & Sterling LLP on

Regulatory Technical Standards supplementing the Central Securities Depositories Regulation setting out the prudential regime for central securities depositories was published in the Official Journal of the European Union. A...more

Final EU Standards on Authorization, Supervision and Operational Requirements for Central Securities Depositories Published

by Shearman & Sterling LLP on

Regulatory Technical Standards supplementing the Central Securities Depositories Regulation on the authorization, supervisory and operational requirements for CSDs was published in the Official Journal of the European Union....more

New PRIIPs Regulatory and Technical Standards issued by the EU Commission

by DLA Piper on

After the first draft was rejected by the European Parliament in September 2016, on 8 March 2017 the European Commission published a new draft of a Delegated Regulation, laying down regulatory technical standards in relation...more

European Banking Authority Consults on Draft Technical Standards on the Nature, Severity and Duration of an Economic Downturn

by Shearman & Sterling LLP on

The European Banking Authority published a consultation paper on the specification of the nature, severity and duration of an economic downturn under the Capital Requirements Regulation. The CRR requires firms to use loss...more

PRIIPs: New Regulatory Technical Standards published by the European Commission

by DLA Piper on

On 8 March 2017, the European Commission has published a new delegated regulation supplementing Regulation (EU) no. 1286/2014 (the "PRIIPs Regulation"), which set out the regulatory technical standards (the "New RTS") to lay...more

Final Draft EU Technical Standards on Pre-trade Transparency Requirements for Package Orders Published

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published a final report and final draft Regulatory Technical Standards on pre-trade transparency rules for package orders under the Markets in Financial Instruments...more

ESMA Publishes Final Report and Delegated Regulation Containing Final Draft RTS on Package Orders Under MIFID II

On February 28, 2017, the European Securities and Markets Authority (“ESMA“) published a final report on final draft Regulatory Technical Standards (“RTS“) on the treatment of package orders under Article 9(6) of the Markets...more

ESAs and IOSCO Publish Statements on Variation of Margin Exchange under EMIR

On February 23, 2017, the Joint Committee of European Supervisory Authorities (“ESAs“) published a statement on variation margin exchange under the EMIR regulatory technical standards (“RTS“) on risk mitigation techniques for...more

EU Corrections to Regulatory Technical Standards on Margin Requirements for Uncleared Transactions Enter Into Force

by Shearman & Sterling LLP on

A Commission Delegated Regulation amending the Regulatory Technical Standards on margin requirements for uncleared derivatives was published in the Official Journal of the European Union. The amending RTS relate to the...more

European Banking Authority Published Final Draft Technical Standards for Payment Service Providers

by Shearman & Sterling LLP on

The European Banking Authority published final draft Regulatory Technical Standards on the requirements of strong customer authentication and secure communication under the revised Payment Services Directive (known as PSD2)....more

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