All posts tagged "ESMA"
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399EuropeEU, US, UK Authorities Grant Relief on Call Recording Rules
ESMA, the CFTC and the FCA have each indicated that financial firms can consider alternative mitigating steps in circumstances where call recording with clients is not possible.
March 23, 2020 -
283Europe
ESMA Defers SFTR Start Date for Phase One Reporting Entities
ESMA now expects trade repositories, credit institutions, investment firms to be ready for SFTR reporting from 13 July, alongside CSDs and CCPs.
March 19, 2020 -
541EuropeEuropean Commission Launches MiFID II Review
The introduction of a consolidated tape and enhancements to investor protection are high priority items in the review.
February 20, 2020 -
609Europe
ESMA Seeks BMR Exemptions for Noncritical, Third-country Benchmarks
ESMA says BMR's wide scope has led to an unintended consequence whereby third-country benchmarks are not incentivised to keep providing their benchmarks in the EU.
February 18, 2020 -
453Europe
ESMA Consults on New Standards for Third-Country Investment Firms
The new Investment Firms Regulation (IFR) and Directive (IRD) will require third-country firms providing investment services and activities in the EU to report granular information to ESMA.
February 3, 2020 -
494Europe
ESMA Grants LEI Reporting Relief to Non-EU Issuers Under SFTR
ESMA has granted non-EU issuers of securities and collateral a 12-month grace period before they are required to report LEIs under SFTR.
January 10, 2020 -
213EuropeESMA Analyses Market Impact of Circuit Breakers
ESMA's study found that price volatility is significantly lower after the use of a circuit breaker, as intended, but that bid-ask spreads significantly increase after a trading halt.
January 8, 2020 -
648Europe
ESMA Extends UK CCP Recognition to Guard Against No-Deal Brexit
The temporary recognition decisions for LCH, ICE Clear Europe and LME Clear have been extended to 30 March 2021, in case of a no-deal Brexit scenario.
December 27, 2019 -
311AML / KYCEU Authorities Issue Framework for Supervisory Cooperation on AML/CFT
The guidelines set out a framework for bringing together AML/CFT supervisors, prudential supervisors and third-country regulators to coordinate on multi-juridictional AML/CFT matters.
December 19, 2019 -
565Asia-PacificAsian Benchmark Administrators Face ‘Perfect Storm’ in 2021
The BMR transition period is now scheduled to end alongside LIBOR's discontinuation, creating a "perfect storm" of regulatory change for benchmark administrators and users at end-2021.
December 17, 2019
