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ESMA issues briefing on transaction reporting requirements under MiFID II

Toward the end of 2016, ESMA published guidelines for transaction reporting under the Markets in Financial Instruments Directive (MiFID II) and Regulation(MiFIR). Additionally, ESMA released technical requirements and templates further detailing the relevant reporting requirements under MIFID II and MIFIR. MiFID II and MiFIR increases the scope of regulatory requirements on reporting entities in the …

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RegTech and Regulators or the Sandbox isn’t for everyone

As a subset of its bigger sibling FinTech, RegTech was going to attract the attention of regulators sooner or later. Since the main objective of Regulatory Technology is to help financial institutions with the regulatory burden, it should a good thing when authorities and firms work together. What would be more obvious then to apply …

RegTech and Regulators or the Sandbox isn’t for everyone Read More »

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ESMA finds improvement in regulators’ supervision of MiFID best execution requirements

The European Securities and Markets Authority (ESMA) finds that national regulators are giving greater attention to best execution requirements under the Markets in Financial Instruments Directive (MiFID) in the follow-up report to its Peer Review published in 2015. Best execution refers to the obligation under article 21 of MiFID for investment firms to execute orders …

ESMA finds improvement in regulators’ supervision of MiFID best execution requirements Read More »

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RegTech in numbers

How do RegTechs compare in numbers of staff, funding, location and core activities? Recently, we published the PlanetCompliance RegTech Directory, the guide to the RegTech industry. We examined over 150 RegTechs in detail and analysed the data. This is a summary of our findings but read the full report for more insights on the industry …

RegTech in numbers Read More »

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Former portfolio manager sentenced to 12 months imprisonment for insider dealing

In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts of insider dealing. A confiscation order was also made in the sum of £149,861.27 and costs awarded …

Former portfolio manager sentenced to 12 months imprisonment for insider dealing Read More »

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ESMA updates on how to handle investment recommendations under MAR

The European Securities and Markets Authority (ESMA) has issued today a 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 new detailed answers …

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ESMA publishes MiFIR Q&A regarding data reporting

The European Securities and Markets Authority (ESMA) has published today its Questions and Answers (Q&As) document regarding the implementation of the Market 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 …

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EBA recommends a harmonised EU-wide framework for covered bonds

The European Banking Authority (EBA) published today a Report including recommendations on how to harmonise covered bond framework in the EU. This Report represents an unparalleled attempt to further strengthen the covered bonds across the EU and seeks to ensure that only those financial instruments that comply with the harmonised structural, credit risk and prudential …

EBA recommends a harmonised EU-wide framework for covered bonds Read More »

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European Supervisory Authorities consult on Big Data

The Joint Committee of the European Supervisory Authorities (ESAs) today launched a public consultation about the potential benefits and risks of Big Data for consumers and financial firms to determine whether any further regulatory or supervisory actions may be needed. Big Data is a phenomenon linked to the ever increasing availability of data and advances …

European Supervisory Authorities consult on Big Data Read More »

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Australia embrasses sandbox approach with world-first licensing exemption for FinTechs

ASIC has today released class waivers to allow eligible financial technology (fintech) businesses to test certain specified services without holding an Australian financial services or credit licence. ASIC Commissioner John Price said, ‘ASIC’s ‘fintech licensing exemption’ is unique. No other major jurisdiction has implemented a class waiver which allows eligible businesses to notify the regulator …

Australia embrasses sandbox approach with world-first licensing exemption for FinTechs Read More »

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