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Retail Investors CFD Trading

A&O Shearman

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

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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

Orrick - On the Chain

The FCA Reclassifies Cryptoassets, But Is It Moving Away From Its Technology Neutral Approach?

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The Financial Conduct Authority (FCA) has released final guidance on cryptoassets in a policy statement that includes feedback from their January consultation paper. It is important to note that the policy statement is of a...more

Orrick - Finance 20/20

ESMA Will Not Renew Temporary Restriction on Marketing, Distributing and Selling CFDs to Retail Clients

On July 31, European Securities and Markets Authority (ESMA) published a press release which announced it would not renew the temporary restriction on the market, distribution or sale of contracts for difference (CFDs) to...more

A&O Shearman

UK Regulator Publishes Rules Restricting Sale of Contracts for Difference and Related Options

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The U.K. Financial Conduct Authority has published the Conduct of Business (Contracts for Difference) Instrument 2019, implementing product intervention measures designed to restrict the sale, marketing and distribution of...more

White & Case LLP

FCA cites price volatility and ‘FOMO’ in proposal to ban the sale of crypto-derivatives to retail clients

White & Case LLP on

On 3 July 2019, the UK's Financial Conduct Authority published a consultation paper in which it proposed to prohibit the sale to all retail clients of derivatives and Exchange Traded Notes (ETNs) that reference certain types...more

A&O Shearman

UK Conduct Authority Consults on Permanent Product Intervention Measures

A&O Shearman on

The U.K. Financial Conduct Authority has launched two consultations proposing to prohibit the sale, marketing and distribution of binary options to retail consumers and to restrict the sale, marketing and distribution of...more

Latham & Watkins LLP

FCA Proposes Permanent Product Intervention Measures for Retail CFDs and Binary Options

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The rules will echo ESMA’s temporary measures, however the FCA will extend the CFD restriction to capture closely substitutable products (such as turbo certificates). The FCA has launched two consultations on: ..Banning...more

A&O Shearman

EU Contracts for Differences Product Intervention Measures Extended

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The European Securities and Markets Authority Decision renewing and amending the temporary restriction on the marketing, distribution or sale of contracts for differences to retail clients has been published in the Official...more

A&O Shearman

EU Contracts for Difference Product Intervention Measures to be Extended

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The European Securities and Markets Authority has announced that its various restrictions on the sale, distribution and marketing of Contracts for Difference to retail investors will be extended from November 1, 2018 for a...more

A&O Shearman

EU Ban Relating to Binary Options Extended

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Following its announcement in August 2018, the European Securities and Markets Authority has published notice of the extension of the prohibition on the marketing, distribution and sale of binary options to retail investors...more

A&O Shearman

International Standards Body Encourages Regulatory Clampdown on OTC Leveraged Products

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The International Organization of Securities Commissions has published a report on retail OTC leveraged products, alongside a statement warning retail investors of the risks of investing in illegal or fraudulent binary...more

A&O Shearman

European Securities and Markets Authority Extends Product Intervention Measures for Contracts for Difference and Binary Options...

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The European Securities and Markets Authority has adopted two Decisions on the provision of Contracts for Difference and binary options to retail investors. The effect of the Decisions is to prohibit the marketing,...more

Dechert LLP

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

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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

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

Dechert LLP

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

Dechert LLP on

BaFin Restricts CFD Trading to Retail Clients - BaFin issued a General Administrative Act pursuant to section 4b of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG) on 8 May 2017. The General...more

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