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Tag: ESMA

Complyport UK Consultancy Service > ESMA
  • 01 April 202001 April 2020
  • Latest News

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 […] [...]

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  • 14 June 201821 January 2019
  • European Regulation

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 […] [...]

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  • 17 May 201821 October 2020
  • European Regulation

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 […] [...]

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  • 31 January 201826 March 2018
  • Latest News

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 […] [...]

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  • 27 November 201726 March 2018
  • European Regulation

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 […] [...]

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  • 14 November 201716 November 2017
  • Latest News

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 […] [...]

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  • 14 November 201716 November 2017
  • Latest News

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”) […] [...]

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  • 14 November 201716 November 2017
  • European Regulation

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 […] [...]

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  • 30 June 201727 July 2017
  • Latest News

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” […] [...]

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  • 29 June 201726 March 2018
  • Latest News

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 […] [...]

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  • 28 February 201725 July 2017
  • Latest News

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 […] [...]

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  • 30 November 201625 July 2017
  • Corporate Governance

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 […] [...]

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  • 31 October 201615 November 2017
  • Latest News

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 […] [...]

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  • 31 October 201625 July 2017
  • International

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 […] [...]

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  • 31 October 201625 July 2017
  • European Regulation

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 […] [...]

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  • 27 September 201629 September 2016
  • European Regulation

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 […] [...]

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  • 26 July 201615 November 2017
  • Latest News

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. […] [...]

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  • 22 July 201631 August 2016
  • European Regulation

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 […] [...]

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  • 13 April 201627 April 2016
  • European Regulation

UCITS Share Classes

Of Relevance to: UCITS Management Companies UCITS Share Classes ESMA has been turning its attention to UCITS share classes and has issued a Discussion Paper – 2016/570 – on the […] [...]

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  • 07 April 201627 April 2016
  • European Regulation

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 […] [...]

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INSIGHTS & EXPERTISE

Proactive monitoring and assessment of international Regulatory News and Industry Developments.
  • The Regulatory Gateway for Financial Promotions is Here

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The Regulatory Gateway for Financial Promotions is Here

  • Navigating KYC Challenges in 2024: Insights from the Q&A Session

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Navigating KYC Challenges in 2024: Insights from the Q&A Session

  • Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024

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Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024

  • Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024

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Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024

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