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ESMA issues sector-specific principles on relocations from the UK

The European Securities and Markets Authority (ESMA) has published three Opinions setting out sector-specific principles in the areas of investment firms, investment management and secondary markets, aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom. The opinions, building on the general opinion …

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ESMA publishes updated AIFMD and UCITS Q&A

The European Securities and Markets Authority (ESMA) has published updated questions and answers documents (Q&A) on the application of the Alternative Investment Fund Managers Directive (AIFMD) and the Undertakings for the Collective Investment in Transferable Securities Directive (UCITS). The AIFMD Q&A includes three new questions and answers on the reporting requirements for: Loans purchased on …

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ESMA issues final standards for publication of derivatives data

The European Securities and Markets Authority (ESMA) has today issued final regulatory technical standards (RTS) regarding the aggregation and publication of derivatives data by trade repositories (TRs). ESMA’s RTS define the operational standards for aggregation and comparison of aggregate position data across TRs, which is important to assess risks associated to those markets. ESMA’s RTS …

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ESMA consults on guidelines regarding internalised settlement reporting

The European Securities and Markets Authority (ESMA) has opened today a public consultation on future guidelines further detailing the implementation of internalised settlement reporting under the Central Securities Depositories Regulation (CSDR). Internalised settlement refers to transactions, which are settled outside securities settlement systems operated by central securities depositories (CSDs). Internalised settlement can happen at different …

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ESMA updates MiFID II/ MIFIR Investor Protection Q&A

The European Securities and Markets Authority (ESMA) has added 2 new Q&A to its Questions and Answers (Q&A) document on the implementation of investor protection topics under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The new Q&A cover the topics of recording of telephone conversations and electronic communications, and best execution. …

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Why blockchain regulation isn’t always a bad thing

More and more authorities review blockchain technology and consider regulatory measures. In general, most authorities have steered away for now in order to gain more time to get a better understanding and avoid hampering innovation, especially in the field of cryptocurrencies a number of rules have already been issued. While I’m generally in favour of …

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ESMA updates Q&A on MiFID II implementation

The European Securities and Markets Authority (ESMA) has today updated its Question and Answers (Q&As) regarding the implementation of the Market in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). The purpose of these Q&As is to promote common supervisory approaches and practices in the application of MiFID II. It provides responses to questions posed …

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ESMA proposes simplifications for prospectuses

The European Securities and Markets Authority (ESMA) is publishing three Consultation Papers (CP) on the Prospectus Regulation. The Prospectus Regulation, in the context of the Capital Markets Union action plan, aims to make it easier and cheaper for companies, and in particular smaller companies, to access capital and improve prospectus accessibility for investors. The three …

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ESMA updates MAR Q&A

The European Securities and Markets Authority (ESMA) has updated today its Questions & Answers (Q&A) document regarding the implementation of the Market Abuse Regulation (MAR). The purpose of this Q&A document is to promote common supervisory approaches and practices in the application of the MAR and its implementing measures. Today’s Q&As include a new detailed …

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An Overview of Blockchain Legislation and Regulatory Measures

The Blockchain industry is often compared with the Wild West. in fact, part of its attraction seems to stem from a perceived lack of regulation as rules are often considered as hampering innovation. As with cryptocurrencies, regulators have been slow to respond to the questions surrounding the application of existing regulations or the introduction of new ones. …

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