All posts tagged "ESMA"
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479EuropeHKIFA Warns Against Changing UCITS Delegation Model – Report
HKIFA chief Sally Wong reportedly said a move to restrict the delegation model could prompt capital to flow away from the European fund industry.
October 15, 2020 -
385ChinaChina’s DCE, ZCE Assessed as Post-trade Transparency Positive
The positive assessments relieve EU investment firms from the obligation to make DCE and ZCE transactions post-trade transparent via an APA.
October 8, 2020 -
1.3KAsia-PacificWhy APAC Should Care About the EU’s AIFMD Review
Though prompted by Brexit, the proposed review of the AIFMD legislation will also have implications for buy-side firms operating in Asia, says industry veteran Tony Freeman.
September 2, 2020 -
609Europe
ESMA Postpones CSDR’s Settlement Discipline Regime
The regime was initially due to come into force from September 2020 before it was deferred to February 2021. The new effective date is 1 February 2022.
September 1, 2020 -
674Australia & NZBrokers Push Back Against ASIC Proposal to Limit CFD Leverage
Foreign exchange brokers expressed concerns that the proposals are overly stringent, infringe on investor freedoms, and may result in regulatory arbitrage.
August 31, 2020 -
442Europe
ESMA Set to Defer CSDR’s Settlement Discipline Regime
The European Commission asked ESMA to consider a one-year deferral in light of operational pressures on firms and other market developments amid the Covid-19 pandemic.
July 30, 2020 -
681EnforcementESMA Opens Probe Into Germany’s Wirecard Response
ESMA's fast track assessment will focus on whether BaFin and accounting watchdog FREP properly applied European guidelines on enforcing the reporting of financial information.
July 19, 2020 -
535Europe
SFTR Reporting Regime Goes Live for Sell-Side Firms
Banks, investment firms, CSDs and CCPs started reporting securities financing transactions to approved trade repositories on Monday.
July 14, 2020 -
669EuropeIndustry Bodies Call on EU to Reform Benchmarks Regulation
The majority of third-country benchmarks pose no systemic risk but could nevertheless be barred from use in the EU due to a costly and burdensome third-country benchmark regime.
June 30, 2020 -
4.5KAML / KYCUPDATED – Wirecard Fraud: A Timeline of Events
Wirecard has filed for insolvency amid multiple probes. BaFin faces scrutiny for mishandling clear red flags. EY faces lawsuits for failing to catch the improprieties earlier.
June 30, 2020
