When the summer transfer window closed on 31st August across most European football leagues last week, the amount of money spent had reached another record: clubs in the top 5 leagues in Europe had completed almost 1,700 deals worth close to £4bn/€4.4bn. When so much money changes hands, question crop up about its origins. Alex …
The European Securities and Markets Authority (ESMA) has published today updated Questions and Answers (Q&As) regarding the implementation of the Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). The purpose of this document is to promote common supervisory approaches and practices in the application of MiFID II and MiFIR in relation to market …
The European Securities and Markets Authority (ESMA) has updated its transitional transparency calculations (TTC) for non-equity instruments in relation to the implementation of the Markets in Financial Instruments Directive/ Markets in Financial Instruments Regulation (MiFID II/ MiFIR). MiFID II’s implementing measures on transparency for non-equity instruments require national competent authorities (NCAs) to publish information on …
ESMA updates transitional transparency calculations under MiFID II Read More »
The Basel Committee on Banking Supervision today released a consultative document on the implications of fintech for the financial sector. Sound practices: Implications of fintech developments for banks and bank supervisors assesses how technology-driven innovation in financial services, or “fintech”, may affect the banking industry and the activities of supervisors in the near to medium …
The European Securities and Markets Authority (ESMA) has updated its Questions & Answers (Q&A) document regarding the implementation of the Market Abuse Regulation (MAR).The European Securities and Markets Authority (ESMA) has updated its Questions & Answers (Q&A) document regarding the implementation of the Market Abuse Regulation (MAR). The purpose of the Q&A document is to …
ESMA updates guidance on Market Soundings and Insider Lists under MAR Read More »
We published the first edition of the PlanetCompliance RegTech Directory in December 2016. In spring we started to build on the initial work and published the Directory in a different format in July. Now, just a few weeks after the launch and continuously updating it with new information, we thought we take a quick break …
Ever since we launched The Planet Compliance Top 50 RegTech Influencers Neira Jones has been in the top 10 and even made it to No. 1. A renowned advisor and international speaker, she certainly is one of the most influential women in RegTech and FinTech and when we spoke to her, it quickly became apparent that …
Recently the European Securities and Markets Authority (ESMA) has published another MiFID II consultation paper, this time on draft guidelines on certain aspects of the suitability requirements. While it deals with various aspects of suitability requirements that were originally introduced as part of the original MiFID, it also contains some interesting proposals that will have …
Italy was amongst the first countries to introduce dedicated equity crowdfunding regulations in 2013. The success of this form of alternative finance has been modest though as rules stifled innovation and hindered the success of crowdfunding campaigns. Recently the Italian Regulator, Consob, has launched another review and consultation of the rules, but does that mean …
The Italian Crowdfunding rules – another year, more updates Read More »
The European Securities and Markets Authority (ESMA) has issued today an update of its Guidelines on transaction reporting, order record keeping and clock synchronisation under the Markets in Financial Instruments Directive (MiFID II). The updates corrects some unintended factual mistakes, typos and inconsistencies in the technical part of the Guidelines. ESMA emphasises that none of …
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