Search Results for: ESMA
ESMA to cooperate with New Zealand’s regulators on CCPs
April 19th, 2017
The European Securities and Markets Authority (ESMA) has established a Memorandum of Understanding (MoU) under the European Markets Infrastructure Regulation (EMIR) with Reserve Bank of New Zealand and Financial Markets Authority of New Zealand. The MoU establishes cooperation arrangements, ...
ESMA reports on EU Accounting enforcement in 2016
April 10th, 2017
The European Securities and Markets Authority (ESMA) has published its annual report on the enforcement and regulatory activities of accounting enforcers within the European Union (EU) in 2016. ESMA, in 2016, continued strengthening supervisory convergence in the area of ...
ESMA publishes updated AIFMD and UCITS Q&As
April 7th, 2017
The European Securities and Markets Authority (ESMA) has published updated questions and answers documents (Q&A) on the application of the Alternative Investment Fund Managers Directive (AIFMD) and the Undertakings for the Collective Investment in Transferable Securities Directive (UCITS). Both ...
ESMA updates MiFID II/MIFIR investor protection Q&As
April 5th, 2017
The European Securities and Markets Authority (ESMA) has added 10 new Q&As to its Questions and Answers (Q&A) document on the implementation of investor protection topics under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The ...
ESMA published update on marketing and sale of CFDs, Forex and Binary Options
March 31st, 2017
The European Securities and Markets Authority (ESMA) has published today an updated version of its question and answer document (Q&A) on the application of the Markets in Financial Instruments Directive (MiFID) to the marketing and sale of financial contracts ...
ESMA reports about Central Securities Depositary Regulation
March 24th, 2017
The European Securities and Markets Authority (ESMA) has issued final reports on two sets of guidelines regarding the implementation of the Central Securities Depositary Regulation (CSDR). The CSDR harmonises the settlement of securities by providing a set of common ...
ESMA to cooperate with non-EU Regulators on CCPs
March 21st, 2017
The European Securities and Markets Authority (ESMA) has established five Memoranda of Understanding (MoUs) under the European Markets Infrastructure Regulation (EMIR). The MoUs establish cooperation arrangements, including the exchange of information, regarding Central Counterparties (CCPs) which are established and ...
ESMA writes to EU Commission about MiFID II SIS Operating Broker Crossing Network
February 15th, 2017
The European Securities and Markets Authority (ESMA) has written to the European Commission to raise its concern over the potential establishment of networks of systematic internalisers (SIs) by investment firms to circumvent certain MIFID II obligations; in particular, the ...
ESMA assesses DLT’s potential and interactions with EU rules
February 8th, 2017
The European Securities and Markets Authority (ESMA) has issued a report on Distributed Ledger Technology (DLT). The report sets out ESMA’s view on DLT, its possible applications, benefits, risks and how it maps to existing EU regulation. ESMA’s position ...
ESMA publishes 2017 Suprvision plan for CRAs, Trade Repositories and 3rd Country CCPs
February 6th, 2017
The European Securities and Markets Authority (ESMA) has today published its Annual Report and Supervision Work Programmes (Report) setting out its main areas of supervisory focus for credit rating agencies (CRAs), trade repositories (TRs), and third country central counterparties ...
