Search Results for: European Securities and Markets Authority
ESMA publishes new G&A on Alternative Performance Measures Guidelines
July 13th, 2017
The European Securities and Markets Authority (ESMA) has published four new questions in its Questions and Answers (Q&A) document, on the implementation of its Guidelines on the Alternative Performance Measures (APMs) for listed issuers. The new questions provide information ...
ESMA Proposes Simplification for Prospectus
July 11th, 2017
The European Securities and Markets Authority (ESMA) is publishing three Consultation Papers (CP) on the Prospectus Regulation. The Prospectus Regulation, in the context of the Capital Markets Union action plan, aims to make it easier and cheaper for companies, ...
Broadridge Launches Trade Reporting Solution for SFTR Regulatory Change
June 21st, 2017
Broadridge Financial Solutions, Inc. (NYSE: BR) announced the launch of its trade reporting solution for the European Securities and Markets Authority’s (ESMA) forthcoming Securities Financing Transaction Regulation (SFTR). Broadridge’s new offering will enable market participants of all types to ...
ESMA issues Risk Dashboard for first Quarter of 2017
June 14th, 2017
The European Securities and Markets Authority (ESMA) has issued today its most recent iteration of its Risk Dashboard, covering risks in the EU’s securities markets for 1Q2017. ESMA’s overall risk assessment remains unchanged from 4Q16 at high levels. In ...
ESMA Issues Positive Opinion on Short Selling Ban by Spanish CNMV
June 12th, 2017
The European Securities and Markets Authority (ESMA) has issued an official opinion agreeing to an emergency short selling prohibition, for a period of one month, by the Comisión Nacional del Mercado de Valores (CNMV) on net short positions in ...
ESMA Responds To Commission Consultation On FinTec
June 7th, 2017
The European Securities and Markets Authority (ESMA) has sent today its response to the European Commission consultation paper on “Fintech: a more competitive and innovative financial sector”, welcoming the initiative to take a stock-take of the EU’s Fintech industry. ...
ESMA Updates its MAR Q&As
May 30th, 2017
The European Securities and Markets Authority (ESMA) has updated today its Q&A on practical questions regarding the implementation of the Market Abuse Regulation (MAR). The updated Q&As include new answers regarding: Disclosure of inside information related to Pillar II ...
ESMA consults on money market funds rules
May 25th, 2017
The European Securities and Markets Authority (ESMA) has published a Consultation Paper (CP) on the Money Market Funds Regulation (MMFR). The CP contains proposals on draft technical advice (TA), draft implementing technical standards (ITS), and guidelines under the MMFR. ...
ESMA clarifies traded on a trading venue under MIFID II
May 22nd, 2017
Legal basis ESMA’s competence to deliver an opinion to competent authorities is based on Article 29(1)(a) of Regulation (EC) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European ...
ESMA finds improvements in Regulators’ supervisory practices concerning MiFID rules
May 19th, 2017
The European Securities and Markets Authority (ESMA) has published a Follow-up Report on the actions undertaken by ten National Competent Authorities (NCAs) in addressing deficiencies identified in the 2014 Peer Review on MiFID Conduct of Business rules relating to ...
