MAR - Complyport UK Consultancy Service

ESMA updated Q&As on Markets in Financial Instruments Directive and Regulation, Market Abuse Regulation, Benchmarks Regulation and Central Securities Depository Regulation

Of relevance to: All firms affected by MiFID/MiFIR, MAR, BMR and/or CSDR Key date: Applicable from 23 March 2018 The European Securities and Markets Authority (“ESMA”) has updated its Questions […] [...]

FCA and PRA multi-firm review on Algorithmic Trading Compliance in Wholesale Markets

Of relevance to: All firms carrying out algorithmic trading in wholesale markets The Financial Conduct Authority (“FCA”) and Prudential Regulation Authority (“PRA”) have been reviewing firms’ algorithmic trading activity and […] [...]

AIM – SME Growth Market Application and consequences for Insider Lists under MAR

Of relevance to: All firms having dealings on or with the London Stock Exchange’s AIM and anyone keeping insider lists under MAR Key date: Applicable from 3 January 2018 The […] [...]

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 […] [...]

Initial Public Offerings: Reforming the Process

Of Relevance to: IPO stakeholders including corporate finance advisers, investment banks, buy-side stakeholders and independent research analysts In April 2016 the FCA published a Discussion Paper (DP16/3) on concerns it […] [...]

Market Abuse: Delegated Regulation

The new market abuse regime deriving from Market Abuse Regulation 596/2014 (EU MAR) applies from 3 July 2016 – see Regulatory Roundup 70 for further details. The European Commission has […] [...]

Market Abuse

The FCA has released consultation paper CP15/35 on the revised market abuse regime “Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU)”. The current […] [...]

Tag: MAR

ESMA updated Q&As on Markets in Financial Instruments Directive and Regulation, Market Abuse Regulation, Benchmarks Regulation and Central Securities Depository Regulation

FCA and PRA multi-firm review on Algorithmic Trading Compliance in Wholesale Markets

AIM – SME Growth Market Application and consequences for Insider Lists under MAR

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

Initial Public Offerings: Reforming the Process

Market Abuse: Delegated Regulation

Market Abuse

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