Search Results for: ESMA
ESMA details new market abuse regime
July 15th, 2014
The European Securities and Markets Authority (ESMA) has launched a consultation on the new Market Abuse Regulation (MAR) which entered into force on 2 July 2014. It is issuing two consultation papers seeking stakeholders’ views on the draft regulatory ...
IFRS Foundation and ESMA sign joint Statement of Protocols
July 15th, 2014
The IFRS Foundation and the European Securities and Markets Authority (ESMA) today announced the agreement of a joint Statement of Protocols to serve as the basis for future co operation in areas of mutual interest. The IFRS Foundation, through ...
ESMA defines central clearing of interest rate and credit default swaps
July 11th, 2014
The European Securities and Markets Authority (ESMA) has launched a first round of consultations to prepare for central clearing of OTC derivatives within the European Union. The two consultation papers seek stakeholders’ views on draft regulatory technical standards (RTS) ...
ESMA publishes accounting enforcement guidelines
July 10th, 2014
The European Securities and Markets Authority (ESMA) has published its final Guidelines on the enforcement of financial information published by listed entities in the European Union (EU). The aim of the guidelines is to strengthen and promote greater supervisory ...
ESMA: Short guide for retail investors
July 1st, 2014
The European Securities and Markets Authority (ESMA) has published a short guide for retail investors explaining the impact of the changes to be made in investor protection under the MiFID II reform. It highlights some of the most important ...
CySec on ESMA’s regulation
June 6th, 2014
The Cyprus Securities and Exchange Commission (CySec) draws the attention of the supervised entities, the stakeholders and the investing public to the announcement of the European Securities Markets Authority (ESMA). This announcement refers to the publication of the following ...
CySec informs on ESMA regulation
May 30th, 2014
The Chairman of the Cyprus Securities & Exchange Commission (CySec), Demetra Kalogirou, has announced through a circular on the ESMA – MiFID II / MiFIR Consultation Paper and Discussion Paper to inform the Cyprus Investment Firms and Regulated Markets about the following: 1. ...
ESMA adds CC&G and LCH.Clearnet SA to list of authorised CCPs under EMIR
May 23rd, 2014
The European Securities and Markets Authority (ESMA) has updated its list of Central Counterparties (CCPs) that have been authorised to offer services and activities in the Union in accordance with the European Markets Infrastructure Regulation EMIR (EMIR). With the ...
SEC Charges Unregistered Securities Salesman
May 16th, 2014
The U.S. Securities and Exchange Commission has charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered with the SEC as a broker-dealer or associated with a registered broker-dealer. Behrooz Sarafraz has ...
Former Deutsche Bank Salesman Admits Bribery in Tokyo
April 22nd, 2014
Former Deutsche Bank AG (DBK) salesman Shigeru Echigo admitted to bribery charges in Tokyo and said he acted on instructions from his managers, as authorities push brokerages to be more judicious in entertaining clients. At the start of his ...
