All posts tagged "ESMA"
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247AML / KYCEU Lawmakers Agree on AML Framework for Crypto
Crypto asset service providers will be required to implement customer protection measures and robust AML/CFT safeguards including the travel rule.
July 5, 2022 -
278ESG / SustainabilityESG Ratings Providers Fall Short on Transparency – ESMA
There are 59 ESG ratings providers active in the EU, ESMA said in a letter to the European Commission.
June 28, 2022 -
588AML / KYCEU Proposes to Make AML Compliance a Licence Condition
EBA, EIOPA and ESMA propose that AML/CTF compliance be a specific requirement for firms, including crypto firms, to obtain and maintain their licences.
June 6, 2022 -
422ESG / Sustainability
ESMA Issues Supervisory Guidance on Greenwashing in Funds
ESMA says administrative measures, including enforcement, may be appropriate in cases where SFDR disclosures are misleading or do not match fund documentation.
June 4, 2022 -
466EnforcementDWS CEO Quits Over Greenwashing Accusations
Resignation sparked by German police raids to investigate claims over mis-representation of ESG funds.
June 3, 2022 -
427Enforcement
German Prosecutors Raid DWS Offices Over ESG Claims
"Sufficient factual evidence" has emerged that ESG factors were not taken into account in many investments, contrary to claims made in DWS fund prospectuses.
June 1, 2022 -
501EuropeRisks Were Visible in EMIR Data Prior to Archegos Collapse: ESMA
ESMA found that reported trade activity data could be used to track the evolution of Archegos’ positions in individual stocks and analyse the mark-to-market value of its portfolio of swaps.
May 20, 2022 -
1.2KAustralia & NZASIC to Issue Derivatives Reporting Consultation Soon
ASIC’s Alex Orgaz-Barnier says APAC regulators are targeting a common implementation date and alignment to the greatest extent possible.
May 11, 2022 -
361Capital / LiquidityEU Banks Seek Easing of Proposed Rules for Third Country Banks
Banks are reportedly concerned that measures proposed in October will make it harder to access international markets and cross-border services.
April 8, 2022 -
375Europe
Japan, EU Enhance Framework on Regulatory Cooperation
The adoption of the regulatory cooperation framework follows the signing of an amended MoC by Japan's FSA and ESMA.
April 2, 2022
