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The Coronavirus (COVID-19) Pandemic: A Summary of FCA Guidance & Regulatory Developments in the EU’s Investment Services and Capital Markets Sectors

The FCA has issued the following guidance to the financial services industry regarding the response that FCA expects firms to take in response to the Coronavirus (COVID-19) pandemic. The FCA […] [...]

ESMA Guidelines on aspects of MiFID II suitability requirements

The European Securities and Markets Authority (“ESMA”) has published its Final Report on Guidelines on certain aspects of the Markets in Financial Instruments Directive (“MiFID II”) suitability requirements. The assessment […] [...]

ESMA provides one-stop company portal

Of relevance to: All financial service providers authorised within the EU Investors seeking information on whether a financial service provider is authorised within the European Union (“EU”) will now be […] [...]

CFD Sector: FCA ‘Dear CEO’ Letter and ESMA Press Release and Call for Evidence

Of relevance to: Firms providing or distributing CFDs Key date: ESMA’s public consultation closes on 5 February 2018 On 10 January the FCA issued a ‘Dear CEO’ letter to firms either […] [...]

ESMA Q&As on the Market Abuse Regulation (MAR)

Of relevance to: Any firm or individual who directly or indirectly deals in, or any firm who issues, any financial instrument (FI) that is: admitted to trading on a regulated […] [...]

MiFID II Position Limits

Of relevance to: Any firm with positions in commodity derivative contracts Key date: Applicable from 3 January 2018 The European Securities and Markets Authority (ESMA) has published nine opinions agreeing […] [...]

Draft Guidelines for Non-Significant Benchmarks

Of relevance to: Users, administrators and contributors to benchmarks and any market participant Key date: Applicable from 30 September 2017 Earlier this year, the European Securities and Markets Authority (“ESMA”) […] [...]

Firm Change in Control

Of relevance to: Any firm proposing a change in any shareholder holding 10% or more Key date: Applicable from 1 October 2017 Guidelines issued by the Joint European Supervisory Authorities […] [...]

CFDs: FCA Statement

Of relevance to: Firms offering CFD products Last December the FCA published Consultation Paper CP16/40 “Enhancing conduct of business rules for firms providing contract for difference products to retail clients” […] [...]

Investment Firms: New Prudential Regime Update

Of Relevance to: MiFID investment firms, UCITS Management Companies and AIFMs that conduct permissible MiFID activities, particularly those subject to CRD IV As we know, ESMA and the EBA published […] [...]

PRIIPs – Joint Consultation

Of Relevance to: Most firms providing investments or investment services to retail investors, including AIFMs, UCITS Management Companies and Authorised Fund Managers of NURS A joint EBA/EIOPA/ESMA consultation paper (JC […] [...]

Investment Firms: New Prudential Regime Discussion Paper

Of relevance to: MiFID investment firms, UCITS management companies and AIFMs that conduct permissible MiFID activities, particularly those subject to CRD IV In December 2015 a joint ESMA/EBA report was […] [...]

CFDs and other Speculative Products

Of relevance to: Firms involved in CFDs and similar products such as binary options and rolling spot forex ESMA has updated its Q&As on ‘the provision CFDs and other speculative […] [...]

AIFMD Passport: Non-EU Jurisdictions

Of relevance to: AIFMs and, non-EU fund managers As we know (see Regulatory Roundup 78) the AIFMD allows for the extension of the marketing passport to EU AIFMs of non-EU […] [...]

ESMA Remuneration Guidelines: UCITS and AIFMD

Of relevance to: UCITS management companies and AIFMs UCITS V introduced the concept of remuneration policies and practices for management companies – see Regulatory Roundup 75 for details of ESMA’s […] [...]

EuVECA & EuSEF: Update

Of relevance to: Managers of EuVECA/EuSEF funds; full-scope AIFMs; managers of funds which may qualify as EuVECA/EuSEF funds The concept of a European Venture Capital Fund (“EuVECA”) and a European […] [...]

CFDs and Speculative Products and Appropriateness

Of Relevance to: Firms involved in CFDs and similar speculative products such as binary options and rolling spot forex and to firms in general that need to undertake appropriateness testing. […] [...]

AIFMD Passport: ESMA Advice re non-EU Jurisdictions

Of relevance to: AIFMs; non-EU fund managers Although the AIFMD marketing passport simplifies the marketing of EU AIFs by EU AIFMs, under the current AIFMD regime, the marketing by non-EU […] [...]

Remuneration Guidelines: UCITS V and AIFMD

Of Relevance to: UCITS management companies; AIFMs Remuneration Guidelines: UCITS V and AIFMD UCITS V introduces the need for UCITS management companies to establish and apply remuneration policies and practices […] [...]

Tag: ESMA

The Coronavirus (COVID-19) Pandemic: A Summary of FCA Guidance & Regulatory Developments in the EU’s Investment Services and Capital Markets Sectors

ESMA Guidelines on aspects of MiFID II suitability requirements

ESMA provides one-stop company portal

CFD Sector: FCA ‘Dear CEO’ Letter and ESMA Press Release and Call for Evidence

ESMA Q&As on the Market Abuse Regulation (MAR)

MiFID II Position Limits

Draft Guidelines for Non-Significant Benchmarks

Firm Change in Control

CFDs: FCA Statement

Investment Firms: New Prudential Regime Update

PRIIPs – Joint Consultation

Investment Firms: New Prudential Regime Discussion Paper

CFDs and other Speculative Products

AIFMD Passport: Non-EU Jurisdictions

ESMA Remuneration Guidelines: UCITS and AIFMD

EuVECA & EuSEF: Update

CFDs and Speculative Products and Appropriateness

AIFMD Passport: ESMA Advice re non-EU Jurisdictions

Remuneration Guidelines: UCITS V and AIFMD

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