15 July 2016

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ESMA clarifies Advertisement and Alternative Performance Measures under Prospectus Directive

The European Securities and Markets Authority (ESMA) has updated its Questions and Answers document (Q&A) on prospectus related issues. The Q&A includes two new questions and answers on advertisements and Alternative Performance Measures. The first new question on advertisements addresses how the requirement to disseminate an amended advertisement at a minimum through the same means …

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ESMA consults on asset segregation and custody services under AIFMD and UCITS

The European Securities and Markets Authority (ESMA) has published a Call for Evidence on Asset Segregation and Custody Services under the Alternative Investment Fund Managers Directive (AIFMD) and the Directive on Undertakings for Collective Investment in Transferable Securities (UCITS Directive). ESMA first consulted on asset segregation under the AIFMD in December 2014 (Guidelines on asset …

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FCA fines Non-Executive Director for insider dealing and improper disclosure

The FCA has today fined Gavin Breeze £59,557 for engaging in market abuse in the form of insider dealing and has also publicly censured him for improper disclosure. The FCA found that Mr Breeze, who holds several directorships of private companies and is also a Non-Executive Director of one AIM listed business, attempted to sell …

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German regulator focuses on FinTech in monthly roundup

The German financial regulator BaFin has today published its latest issue of the BaFin Journal. The regulator publishes this monthly bulletin that contains technical articles, interviews and reports on important national and international regulatory issues as well as the official announcements of insurance supervision. This month’s issue focuses amongst other topics on the First Act Amending …

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EBA launches data collection to support the new prudential framework for investment firms

The European Banking Authority (EBA) launched today a data collection aimed at supporting the response to the European Commission’s Call for Advice on a new prudential framework for MiFID (Markets in Financial Instruments Directive) investment firms, which should be less complex, more risk sensitive and more proportionate than the current regime. For the purpose of this …

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