March 2017

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European Regulator sees high market and valuation risk amid substantial political and policy uncertainty

The European Securities and Markets Authority (ESMA)’s latest report on Trends, Risks and Vulnerabilities No. 1, 2017 (TRV) identifies political and policy uncertainty – such as potential repercussions from the upcoming elections in some EU Member States – as the main risk drivers for 2017. Risks in the markets under ESMA remit remained at high …

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The RegTech Glossary – A Beginner’s Guide to the Industry's Terminology

Do you speak RegTech? Are you an expert or are you a bit confused by all this jargon? RegTech itself is already an abbreviation that not everyone understands (it stands, of course, for Regulatory Technology), but what about all those other terms added by RegTech and frequently used in conversations about it? Well, for starters, …

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Canadian regulator highlights need for improved Social Media disclosure practice

The Canadian Securities Administrators (CSA) today released CSA Staff Notice 51-348 Staff’s Review of Social Media Used by Reporting Issuers, which summarizes staff’s findings and disclosure expectations for reporting issuers that use social media. Staff reviewed the social media disclosure of 111 reporting issuers to determine if they were consistent with the principles of National Policy …

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EBA calls for improvements to decision-making framework for supervisory reporting requirements

The European Banking Authority (EBA) issued today an Opinion to the European Parliament, Council and Commission proposing that the decision-making framework for adopting supervisory reporting requirements be made more efficient and fit-for-purpose by replacing the Commission’s Implementing Technical Standards (ITS) with decisions adopted directly by the EBA. The current endorsement process of ITS on supervisory …

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The Battle for Life after Brexit – European Capitals Court Foreign Companies

Just a few weeks ago the German financial regulator, BaFin, launched a new information portal on its website in its bid to attract foreign financial companies hit by Brexit. It’s just one example how European jurisdictions have moved to convince financial institutions to move their operations across the channel following the UK’s decision to leave …

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