Month: December 2015

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ESMA publishes consultation paper on Transaction Reporting, Reference Data, Order Records and Clock Syncronisation

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published today a Consultation Paper (CP) on guidelines regarding the Markets in...

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ESMA issues MiFID II guidelines on cross-selling practices

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published its Guidelines on Cross-Selling Practices under MiFID II (guidelines) to ensure...

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ESMA publishes results of second Market Abuse peer review

PlanetCompliance

The European Securities and Markets Authority (ESMA) published today the results of its follow-up review of national competent authorities’ (NCAs)...

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MiFID II & MiFIR timetable

PlanetCompliance

Below you will find a timetable of events and publications of Level 1 and Level 2 measures in relation to...

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EBA consults on draft guidelines on remuneration requirements for sales staff

PlanetCompliance

The European Banking Authority (EBA) launched today a consultation on its draft guidelines on remuneration policies and practices related to...

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ESMA publishes responses to indirect clearing under EMIR and MiFIR consultation

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published the responses received to the Consultation on indirect clearing under EMIR...

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ESMA publishes report on proxy advisors’ best practice principles

PlanetCompliance

The European Securities and Markets Authority (ESMA) today published its Follow-up Report on the development of the ‘Best Practice Principles...

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ESMA publishes CRA market share calculation

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published its annual market share calculation for EU registered credit rating agencies...

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P2P and Marketplace Lending – An Introduction

PlanetCompliance

The original idea behind Marketplace Lending, often synonymously used with P2P Lending, comes from loans being made between peers, i.e....

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FATF stresses importance of measures to counter terrorist financing and help defeat ISIL

PlanetCompliance

In an address at Special Session of the United Nations Security Council meeting of Finance Ministers the president of the FATF, Je-Yoon...

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ESMA publishes Final Report on MiFID II guidelines for the assessment of knowledge and competence

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published today the Final Report on guidelines for the assessment of knowledge...

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ESMA see continued high levels of risk in financial markets

PlanetCompliance

The European Securities and Markets Authority (ESMA) has issued today its Risk Dashboard for the European securities markets covering the...

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IOSCO publishes results of the third annual Risk Outlook Survey

PlanetCompliance

The Research Department of the International Organization of Securities Commissions (IOSCO) today published a Staff Working Paper entitled Risk Outlook...

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ESMA publishes updated CRA Q&A

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published an updated questions and answers on the application of the Credit...

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EBA defines harmonised prudential requirements for Central Securities Depositories (CSDs)

PlanetCompliance

The European Banking Authority (EBA) published today its draft Regulatory Technical Standards (RTS) on prudential requirements for Central Securities Depositories...