The European Securities and Markets Authority (ESMA), in its annual report on prospectus activity, has found that the number of prospectus approvals across the European Economic Area (EEA) fell by around 8.5% from 2015 to 2016, continuing the overall decreasing trend seen since the start of the financial crisis. From the prospectuses approved, 40% were …
ESMA sees continued decline in number of prospectus approvals Read More »
The European Securities and Markets Authority (ESMA) has issued today an opinion with interim transparency calculations for non-equity instruments in relation to the implementation of the Markets in Financial Instruments Directive/Markets in Financial Instruments Regulation (MiFID II). These calculations specify the transparency regime applicable to trading in secondary markets from 3 January 2018, when MiFID II …
ESMA provides interim transparency calculations for MiFID II Read More »
On Monday, I spoke at a conference organised by the Ministry of Defence for its defence partners on the subject of Blockchain and Defence Logistics. Before you ask what this has to do with financial services, let my presentation several others focused on the use of blockchain in finance related subjects. For instance, Jonny Fry …
An analysis of the Top20 ICOs, trends and regulatory outlook Read More »
The European Banking Authority (EBA) launched today a public consultation on draft regulatory technical standards (RTS) that specify the criteria for determining when the appointment of a central contact point under the PSD2 is appropriate and the functions that these contact points should have. The consultation runs until 29 September 2017. In order to facilitate …
EBA consults on central contact points under the revised Payment Services Directive Read More »
The European Securities and Markets Authority (ESMA) has issued today its final guidelines on trading halts under the Markets in Financial Instruments Directive (MiFID II). MiFID II provides that Member States shall require a regulated market to be able to temporarily halt or constrain trading if there is a significant price movement in a financial …
MIFID II: ESMA issues final guidelines on trading halts Read More »
The Joint Committee of the three European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs) published today its final Guidelines on anti-money laundering and countering the financing of terrorism (AML/CFT). The Guidelines promote a common understanding of the risk-based approach to AML/CFT and set out how it should be applied. These Guidelines are part of …
The RegTech industry is buzzing: innovation has transformed how we use regulatory technology to deal with ever-increasing requirements and obligations from financial regulations. Who are the people though that move the sector, are the most active on social media channels, blogs and industry events? You know we love lists at PlanetCompliance, so every week we …
The Planet Compliance Top 50 RegTech Influencers Read More »
The coming wave of new Anti-Money Laundering regulations will bring significant changes to the existing regimes. In this sponsored post John Karantzis, founder and CEO of iSignthis Ltd, explains the ‘recency’ effect on online KYC processes and how to prepare for the new rules. The incoming wave of Anti-Money Laundering (AML) regulations has some significant impact …
Initial Coin Offerings (ICO) are disrupting traditional financing models, because they are a very attractive way to raise money without being subject to the restrictions of the latter. The legal structure of ICOs is still subject of lively discussions though and there is an increasing need for a form of ICO compliance if start-ups want …
The increasing need for ICO compliance: the Simple Agreement for Future Tokens explained Read More »
Innovation in the field of Fintech in general and Regtech in particular cannot flourish with the support of regulators. Lawmakers and authorities provide the framework and play an important role in the practical application of new services and solutions. All the more is it disappointing to see how much the various financial watchdogs do to …
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