News & Analysis as of

European Securities and Markets Authority (ESMA)

K&L Gates LLP

Brussels Regulatory Brief: October 2024

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On 18 September 2024, the General Court of the European Union (General Court) largely upheld the fine imposed by the European Commission (Commission) finding that a global tech company had engaged in predatory pricing of its...more

Goodwin

ESMA Pushes Back on the EU Commission’s Scaling Back of MiCA CASP Requirements

Goodwin on

In a previous alert, Crypto-Asset Services and Grandfathering Under MiCA: Clarity From ESMA, we noted that the provisions of the Markets in Crypto Assets Regulation (MiCA) governing crypto-asset service providers (CASPs) is...more

A&O Shearman

EU Announces Next Steps for the Transition to T+1 Settlement

A&O Shearman on

The European Commission, the European Central Bank and the European Securities and Markets Authority have published a joint statement on the next steps to support the preparations towards a transition to T+1. Under the EU...more

Dechert LLP

Central Bank to move on UCITS ETF Naming Requirement

Dechert LLP on

In a speech published on the Central Bank website¹ on 24 October 2024, Deputy Governor Derville Rowland confirmed that the Central Bank is in the process of converging its regulatory approach with other European regulators...more

A&O Shearman

European Securities and Markets Authority Updates Guidance Under MiFIR Review

A&O Shearman on

The European Securities and Markets Authority has published an updated version of its manual on post-trade transparency and an updated version of its opinion on the assessment of pre-trade transparency waivers for equity and...more

Goodwin

Crypto-Asset Services and Grandfathering Under MiCA: Clarity From ESMA

Goodwin on

In a previous alert, “Are You Ready for MiCA Implementation?,” we discussed provisions of the Markets in Crypto Assets Regulation (MiCA) governing stablecoins that came into effect on 11 June 2024. With further provisions...more

Dechert LLP

AIFMD 2.0: Focus on marketing of funds in the EU

Dechert LLP on

Marketing will now expressly fall within the scope of delegation under AIFMD 2.0, to the extent that it is carried out on behalf of the alternative investment fund manager (AIFM). AIFMD 2.0 clarifies that only distributors...more

Walkers

European Commission consults on EU Securitisation Framework

Walkers on

European Commission has launched a short 8 week public consultation on key aspects of the EU Securitisation Framework. The consultation seeks feedback on the effectiveness, scope and application of the current EU...more

Akin Gump Strauss Hauer & Feld LLP

Summary of ESMA Consultation Papers on the Draft RTS And Guidelines on Liquidity Management Tools for AIFMS and UCITS Management...

The questions from the European Securities and Markets Authority (ESMA) Consultation Papers are below. The questions largely ask for feedback from market participants as to whether...more

A&O Shearman

EU Markets Authority Announces Next Steps for the Selection of Consolidated Tape Providers

A&O Shearman on

ESMA explains that each selection procedure will be launched with the publication of a contract notice and procurement documents on the EU Funding & Tenders Portal. Prospective applicants are invited to register and...more

K&L Gates LLP

Brussels Regulatory Brief: September 2024

K&L Gates LLP on

Antitrust and Competition - The Court of Justice of the European Union Finds That the European Commission Lacks Jurisdiction to Review Transactions That Fall Below the EU and National Merger Filing Thresholds -On 3 September...more

A&O Shearman

EU Review of RTS on Transaction Reporting and Order Book Data Under MiFIR Review

A&O Shearman on

The European Securities and Markets Authority has published a consultation on the review of regulatory technical standards on transaction data reporting and on order book data under the revised Markets in Financial...more

A&O Shearman

Zooming In on AI - #6: AI under financial regulations in the U.S., EU and U.K.

A&O Shearman on

Many governments are grappling with the question of how to regulate artificial intelligence to ensure it is adopted safely and used responsibly without hampering innovation. Governments have generally indicated similar...more

Skadden, Arps, Slate, Meagher & Flom LLP

EU Standardization Supporting the Artificial Intelligence Act

With the EU’s AI Act having entered into force on August 1, 2024, companies now need to focus on its implementation. Although the AI Act will not be fully enforceable until August 2, 2027, some obligations will become binding...more

Proskauer Rose LLP

Regulation Round Up - September 2024

Proskauer Rose LLP on

Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more

A&O Shearman

Regulatory monitoring - September 2024

A&O Shearman on

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) EU - EC: Report on the future of European competitiveness Status: Final - The EC has published a report on the future of European competitiveness,...more

A&O Shearman

Regulatory monitoring: EU version Newsletter - September 2024

A&O Shearman on

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) EU - EC: Report on the future of European competitiveness Status: Final - The EC has published a report on the future of European competitiveness,...more

Latham & Watkins LLP

DORA: Just Over Three Months Until Take Off

Latham & Watkins LLP on

The deadline is fast approaching for in-scope financial entities and their ICT service providers to conform to the EU’s new digital operational resilience regulation. With effect from 17 January 2025, a broad range of EU...more

Walkers

AIFMD II 101: Part 2 – A new EU Framework for Liquidity Management Tools

Walkers on

This second instalment of our AIFMD II 101 series focuses on the new EU-wide legal framework for liquidity management tools ("LMTs") under AIFMD II. The new rules in relation to the use of LMTs will apply to alternative...more

Walkers

Global Legal Insights FinTech 2024: Ireland chapter

Walkers on

The Irish government has been supportive of the development of the financial services sector in Ireland and this extends to fintech. The government’s strategy for the development of Ireland’s international financial services...more

BCLP

The EU’s Digital Operational Resilience Act 2022/2554 (DORA)

BCLP on

Long IT sub-contracting chains can make it hard for financial institutions to understand the vulnerabilities in their IT estate and the location of key functions (where these may be located in entities who do not have a...more

Goodwin

Liquidity Management Under AIFMD2: RTS for Open-Ended Funds

Goodwin on

In our recent alert Loan Origination Under AIFMD2: A Guide, on loan origination under the revised Alternative Investment Fund Managers Directive (AIFMD2), we noted that the European Securities and Markets Authority (ESMA)...more

A&O Shearman

Financial Conduct Authority Talks about a Targeted and Outcomes-Based Approach to Tackling Financial Crime

A&O Shearman on

The Financial Conduct Authority has published a speech by Sarah Pritchard, FCA Executive Director, Markets and International, on taking a targeted and outcomes-based approach to tackling financial crime....more

Proskauer Rose LLP

Regulation Round Up - August 2024 - 2

Proskauer Rose LLP on

Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more

A&O Shearman

European Commission report on the future of European competitiveness

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The European Commission has published a report on the future of European competitiveness, prepared by Mario Draghi, former President of the European Central Bank. The report aims to set out a new industrial strategy for...more

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