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 -

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

A&O Shearman on 10/8/2024

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

Regulation Round Up - August 2024 - 2

Proskauer Rose LLP on 9/11/2024

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

Regulation Round Up - August 2024

Proskauer Rose LLP on 9/4/2024

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

ESMA’s Long-Term Vision for the Functioning of the Sustainable Finance Framework

Proskauer - Regulatory & Compliance on 7/30/2024

On 24 July 2024, the European Securities and Markets Authority (“ESMA”) published an opinion (the “Opinion”) outlining its long-term vision for the functioning of the European Union’s sustainable finance framework (the...more

Initial guidance on the use of AI in the provision of investment services

Walkers on 6/25/2024

With the Regulation on Artificial Intelligence (the "AI Act") entering into force in due course, following its publication in the Official Journal of the EU, there has been an increasing focus of supervisory bodies to provide...more

Regulation Round Up - March 2024

Proskauer Rose LLP on 4/10/2024

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

Brussels Regulatory Brief: February 2024

K&L Gates LLP on 3/5/2024

Antitrust and Competition - The European Commission Carried Out Unannounced Inspections in the Tires Sector - On 30 January 2024, the Commission conducted dawn raids at the premises of several companies active in the tires...more

Draft EuGB Regulation and implications for future green ABS

White & Case LLP on 9/26/2023

On 10 May 2023, the Council of the European Union (the "Council") submitted a draft for a European Green Bonds Regulation (the "Draft EuGB Regulation") to the European Parliament for review and approval....more

Regulation Round Up - June 2023

Proskauer Rose LLP on 7/5/2023

MiFIR / MiFID II: The European Parliament published a press release announcing it has reached provisional political agreement with the Council of the EU on the proposed amendments to the Markets in Financial Instruments...more

The Share Trading Obligations – A New Year’s Mess

BCLP on 12/23/2020

Diverging approaches to Share Trading Obligations from the FCA and ESMA pose challenges for investment firms in a post-Brexit Europe. With 1 January 2021 creeping closer and the hope of securing an effective Brexit deal...more

EU Authority Allows Further Short Delay to Annual Transparency Calculations for Non-Equities

A&O Shearman on 10/2/2020

The European Securities and Markets Authority has announced the delay of the publication dates by investment firms and trading venues of the annual transparency calculations for non-equity instruments (other than bonds) from...more

Securities and markets regulatory news, July 2020 #4

Hogan Lovells on 7/29/2020

Brexit: ISDA updates FAQs - HM Treasury has published a policy statement explaining the government's reasons for extending the transitional period for third-country benchmarks under the retained EU law version of the...more

Securities and markets regulatory news, July 2020 #2

Hogan Lovells on 7/14/2020

Recent regulatory developments of interest to financial institutions and markets. Includes updates on MiFIR open access regime for trading and clearing ETDs and various ESMA Q&A updated....more

MiFID II Update – Non-EU Trading Venue Equivalence for Transparency and Position Limits

Akin Gump Strauss Hauer & Feld LLP on 6/24/2020

On 3 June 2020, the European Securities and Markets Authority (ESMA) published two Opinions clarifying how European Union investment firms trading financial instruments on third-country trading venues (TCTVs) should, from 3...more

MiFID’s Transparency Rules: ESMA Confirms Equivalence of Numerous Non-EU Venues

Latham & Watkins LLP on 6/16/2020

Implications for users of third-country trading venues as ESMA confirms the list of venues who meet the criteria in its updated opinions on transparency and position limits. On 3 June 2020, ESMA published updated versions...more

EU Sustainable Finance Consultation – ensuring the grass is greener on the other side

White & Case LLP on 5/5/2020

To meet the ambitious targets set by the UN 2030 Sustainable Development Goals (SDGs), the finance markets must be utilised to a much greater degree to enable sustainable projects and allow access to wider sources of capital....more

Does the EU's SFTR Mandatory Reporting Apply to Your Margin Lending Transactions? - The mandatory reporting of securities...

Jones Day on 3/22/2020

The European Union's new reporting requirement under Regulation (EU) 2015/2365 of November 25, 2015—known as the Securities Financing Transactions Regulation ("SFTR")—will go into effect beginning on April 11, 2020, for...more

EU Consultation on Potential Amendments to MiFID II's Equity Transparency Regime

A&O Shearman on 2/21/2020

The European Securities and Markets Authority has commenced a consultation on proposed amendments to the provisions of the Markets in Financial Instruments package on the transparency regime for equity and equity-like...more

ESMA Provides Its Input on the BMR Review

Latham & Watkins LLP on 2/20/2020

ESMA has published its response to the Commission’s review of the BMR, which gives an indication of the areas where changes to the regulation are more likely to be made. Key Points: ..ESMA’s response to the European...more

UK Conduct Authority Halts UK Operation of MiFID Transparency Regime in Light of Commitment to Brexit Deal

A&O Shearman on 2/4/2020

The U.K. Financial Conduct Authority has updated its webpage and statement on the operation of the transparency regime under the Markets in Financial Instruments Directive post-Brexit...more

UK Listed Companies: Key Legal Developments in 2020

Latham & Watkins LLP on 1/24/2020

The regulatory regime and disclosure requirements for listed companies in the UK will continue to evolve in 2020. Issuers and their advisers should be aware of the key legal developments that will occur during this year,...more

European Securities and Markets Authority Publishes Follow-Up Report on Credit Rating Agency and Trade Repository Fees

A&O Shearman on 1/21/2020

The European Securities and Markets Authority has published a follow-up report on its 2018 Thematic Report on the fees charged by credit rating agencies and trade repositories. ESMA directly supervises all CRAs and trade...more

EU Securitisation Regulation - European Commission Publishes Final Disclosure Templates Expected to Apply from February 2020

Dechert LLP on 10/31/2019

No Good News, but No Bad News Either - On 16 October 2019 the European Commission (EC) adopted a delegated regulation supplementing Regulation (EU) 2017/2402 (the Securitisation Regulation) and setting out the final...more

European Commission Adopts Disclosure Templates for EU Securitisation Reporting

Cadwalader, Wickersham & Taft LLP on 10/21/2019

The Securitisation Regulation applies to securitisations, the securities of which are issued (or where no securities are issued, the securitisation positions of which are created) on or after 1 January 2019....more

Financial Regulatory Observer – June 2019: No-deal Brexit: Challenges for trading venues and their participants

White & Case LLP on 7/1/2019

There is no silver bullet for maintaining cross-border trading if the UK leaves the EU without a deal. The date of Brexit has been delayed until (at least) October 31, 2019, but there is little sign that financial...more

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