October 2015

SEC Adopts Rules to Permit Crowdfunding

The Securities and Exchange Commission today adopted final rules to permit companies to offer and sell securities through crowdfunding.  The Commission also voted to propose amendments to existing Securities Act rules to facilitate intrastate and regional securities offerings.  The new rules and proposed amendments are designed to assist smaller companies with capital formation and provide …

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ESMA Chair Maijoor speaking on potentials of and challenges for EU crowdfunding

The Chair of the European Securities and Markets Authority (ESMA), Steven Maijoor, has today delivered a keynote speech to the 4th Crowdfunding Convention organised by the European Crowdfunding Network’s (ECN)  in Paris, France. In his speech Maijoor stressed the potentials, evolution and challenges of European crowdfunding from a regulatory view-point. ESMA’s aim is to enable …

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FCA statement on HM Treasury announcement on changes to the Senior Managers’ Regime

Today, HM Treasury announced that it planned to make changes to the Senior Managers’ and Certification Regime, which was introduced by the Financial Services (Banking Reform) Act 2013. The Government now considers it appropriate to extend the Senior Managers’ and Certification Regime to all financial services firms and to replace the ‘presumption of responsibility’ for …

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ESMA delays submission of RTS on indirect clearing under MiFIR

The European Securities and Markets Authority (ESMA) has notified the European Commission to inform it that it has not submitted its draft MiFIR RTS on exchange-traded derivatives in order to ensure consistency with the EMIR RTS on the indirect clearing of OTC derivatives. ESMA believes that in order to ensure the orderly functioning of markets …

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