News & Analysis as of October 19, 2024

European Securities and Markets Authority (ESMA)

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The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

MiCA and Reverse Solicitation

Barnea Jaffa Lande & Co. on 4/3/2024

Non-EU or non-MiCA compliant entities that want to offer or provide crypto-asset services to clients in the EU must be aware of the newly drafted guidelines from the European Securities and Markets Authority (ESMA). The...more

Crypto Regulation in Europe: ESMA Statement Clarifies process for the Transition to MiCA

Goodwin on 10/25/2023

On 17 October 2023, the European Securities and Markets Authority (ESMA) published a statement (the Statement) clarifying the timeline for implementation of the Regulation on Markets in Cryptoassets ((EU) 2023/1114) (MiCA)...more

EU Consults on Plans for a New Regulatory Regime for ESG Ratings Providers

Latham & Watkins LLP on 6/16/2023

An evolving landscape of reforms in the ESG ratings sector continues to pose challenges to providers of ratings and scores. International momentum to regulate ESG ratings continues as the European Commission released a...more

ESAs propose adjustments to the EU SFDR rules

Goodwin on 4/18/2023

On 12 April 2023, the European Banking Authority, European Securities and Markets Authority and European Insurance and Occupational Pensions Authority (the ESAs) published a joint consultation paper on a review of the...more

Horizon Scan for Private Investment Funds: Key Recent and Expected Funds, Regulatory and Tax Developments to Look Out For

Goodwin on 1/19/2023

Welcome to our January 2023 Horizon Scan, where we focus on some of the principal recent and expected developments and changes that we expect to be of interest to those in the non-listed funds sector. We have grouped the...more

6 Sustainability Takeaways in EU Antitrust & Regulatory - December 2022

Latham & Watkins LLP on 12/22/2022

Latham lawyers highlight key takeaways and developments in the sustainability space from the second half of the year. ...more

ESMA Consults on ESG-Related Amendments to Its Suitability Guidelines

Latham & Watkins LLP on 2/11/2022

Proposed changes seek to reflect the integration of sustainability considerations into MiFID II. The European Securities and Markets Authority (ESMA) is consulting on updates to its Guidelines on the MiFID II suitability...more

Private Bank Briefing – June 2021

Latham & Watkins LLP on 6/29/2021

The latest edition of our Private Bank Briefing provides a roundup of legal and compliance issues impacting private banks and their clients from Q2 2021. In this edition, we cover sustainable finance developments, the...more

New Draft Regulatory Technical Standards Under the EU Benchmarks Regulation

Latham & Watkins LLP on 4/2/2020

The draft RTS introduce new, potentially more onerous obligations on the administrators of all categories of benchmarks. Key Points: ..The draft RTS contain new guidance that makes clear who is responsible for which...more

European Securities and Markets Authority Consults on Alignment of EU Trading and Clearing Obligations

A&O Shearman on 10/15/2019

The European Securities and Markets Authority has published a consultation paper on aligning the trading obligation under the Markets in Financial Instruments Regulation with the recent changes made to the clearing obligation...more

Review of the EU Benchmarks Regulation

Latham & Watkins LLP on 10/15/2019

European Commission review will inform potential future legislative change. Key Points: ..The European Commission is seeking views on various aspects of the regime, and asking for feedback on areas in which improvements...more

ESMA consults on MAR

BCLP on 10/10/2019

ESMA has published a consultation paper seeking views on various provisions of the Market Abuse Regulation (MAR). These include revisions to the protections created by the market soundings regime, an assessment of the...more

EU Supervisory Authority Consults on Proposed Guidelines on Money Market Fund Reporting Requirements

A&O Shearman on 11/28/2018

The European Securities and Markets Authority has launched a consultation on proposed Guidelines for Money Market Fund Managers, to assist them in complying with their obligations, under the Money Market Funds Regulation, to...more

Corporate & Financial Weekly Digest, Featuring Articles on Swaps, Brexit, EEA Passport Rights and MLD4

Katten Muchin Rosenman LLP on 11/12/2018

EU /BREXIT DEVELOPMENTS - EEA Passport Rights Regulations 2018 Published - On November 7, the European Economic Area (EEA) Passport Rights (Amendment, etc., and Transitional Provisions) (EU Exit) Regulations 2018...more

EU Supervisory Authorities Propose Revisions to Implementing Technical Standards for Mapping of External Credit Ratings

A&O Shearman on 11/8/2018

The Joint Committee of the European Securities Authorities (that is, the European Banking Authority, the European Securities and Markets Authority and the European Insurance and Occupational Pensions Authority) has published...more

Proposed Revisions to EU Guidelines on Stress Testing of Money Market Funds

A&O Shearman on 10/10/2018

The European Securities and Markets Authority has opened a consultation on proposed updates to the Guidelines on stress test scenarios for Money Market Funds under the Money Market Fund Regulation. The MMF Regulation has...more

EU Consultation on Revised Guidelines on Periodic Reporting by Credit Rating Agencies

A&O Shearman on 8/3/2018

The European Securities and Markets Authority has launched a consultation on proposed revised Guidelines on periodic reporting by credit rating agencies. Under the EU Credit Rating Agencies Regulation, ESMA is responsible for...more

European Securities and Markets Authority Seeks Feedback on Proposed Risk Factors Guidelines Under the Prospectus Regulation

A&O Shearman on 7/27/2018

The European Securities and Markets Authority has published a consultation paper setting out draft guidelines for national regulators on risk factors under the Prospectus Regulation. ESMA has prepared the draft guidelines...more

EU Consultation on Extending the Exemption From the Clearing Obligation for Intragroup Transactions with Third Country Group...

A&O Shearman on 7/23/2018

The European Securities and Markets Authority has opened a consultation on the exemption from the clearing obligation for intragroup transactions with a third country group entity. There are three Regulatory Technical...more

EU Consultation on Duties of Third-Party Custodians Safe-Keeping Fund Assets

A&O Shearman on 6/13/2018

The European Commission is consulting on revisions to the Delegated Regulations on the safekeeping duties of depositaries under both the Alternative Investment Fund Managers Directive and the Undertakings for Collective...more

Proposed EU Guidelines on CCP Requirement for Anti-Procyclicality Margin Measures

A&O Shearman on 1/19/2018

The European Securities and Markets Authority is consulting on proposed guidelines for national regulators of CCPs on the application of the rules requiring CCPs to adopt anti-procyclicality margin measures....more

European Securities and Markets Authority Consults on Regulatory Technical Standards for EU Prospectuses

A&O Shearman on 1/4/2018

The European Securities and Markets Authority has launched a consultation on draft Regulatory Technical Standards under the new EU Prospectus Regulation which entered into force on July 20, 2017. ESMA seeks feedback on the...more

European Securities and Markets Authority Consults on Guidelines for Non-Significant Benchmarks

A&O Shearman on 10/17/2017

The European Securities and Markets Authority has launched a consultation on proposed Guidelines on the obligations applying to the provision of and contribution to non-significant benchmarks under the Benchmarks Regulation....more

European Commission Legislative Proposals for Enhanced Powers for European Supervisory Authorities and the European Systemic Risk...

A&O Shearman on 10/17/2017

The European Commission has published legislative proposals designed to strengthen and further integrate the supervisory framework of the European Union. The proposals build on contributions to the Commission's public...more

ESMA Consults on Draft Guidelines on Non–Significant Benchmarks Under Benchmarks Regulation

Orrick - Finance 20/20 on 10/3/2017

On September 29, 2017, ESMA published a consultation paper on draft guidelines for non-significant benchmarks under the Regulation on indices used as benchmarks in financial instruments and financial contracts or to measure...more

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