PlanetCompliance

1 min read

ESMA issues negative opinion on extending Greek short selling ban

PlanetCompliance

The European Securities and Markets Authority (ESMA) has issued a negative opinion on a proposed extension of the emergency short...

2 min read

SEC Announces 2016 Examination Priorities

PlanetCompliance

SEC has today announced its Office of Compliance Inspections and Examinations’ (OCIE) 2016 priorities.  New areas of focus include liquidity controls,...

3 min read

SEC barres Cohen for supervisory failures of insider trading employee

PlanetCompliance

The Securities and Exchange Commission today announced that hedge fund manager Steven A. Cohen will be prohibited from supervising funds...

1 min read

FCA publishes Policy Development Update – Issue 29

PlanetCompliance

The FCA has published its latest Policy Development Update - Issue 29. The Policy Development Update provides information on: publications issued since...

1 min read

ESMA cooperates with Canadian and Swiss regulators on CCPs under EMIR

PlanetCompliance

The European Securities and Markets Authority (ESMA) has established three Memoranda of Understanding (MoUs) under the European Markets Infrastructure Regulation...

2 min read

ESMA assesses regulators’ compliance with market maker exemption under SSR

PlanetCompliance

The European Securities and Markets Authority (ESMA) has today published the results of a targeted review it conducted among five...

2 min read

FINRA’s 2016 Focus on Supervision, Liquidity and Securities Firms’ Culture

PlanetCompliance

The Financial Industry Regulatory Authority (FINRA) today released its 2016 Regulatory and Examination Priorities Letter highlighting three broad issues –...

1 min read

ESMA publishes consultation paper on Transaction Reporting, Reference Data, Order Records and Clock Syncronisation

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published today a Consultation Paper (CP) on guidelines regarding the Markets in...

1 min read

ESMA issues MiFID II guidelines on cross-selling practices

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published its Guidelines on Cross-Selling Practices under MiFID II (guidelines) to ensure...

1 min read

ESMA publishes results of second Market Abuse peer review

PlanetCompliance

The European Securities and Markets Authority (ESMA) published today the results of its follow-up review of national competent authorities’ (NCAs)...

2 min read

MiFID II & MiFIR timetable

PlanetCompliance

Below you will find a timetable of events and publications of Level 1 and Level 2 measures in relation to...

2 min read

EBA consults on draft guidelines on remuneration requirements for sales staff

PlanetCompliance

The European Banking Authority (EBA) launched today a consultation on its draft guidelines on remuneration policies and practices related to...

1 min read

ESMA publishes responses to indirect clearing under EMIR and MiFIR consultation

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published the responses received to the Consultation on indirect clearing under EMIR...

2 min read

ESMA publishes report on proxy advisors’ best practice principles

PlanetCompliance

The European Securities and Markets Authority (ESMA) today published its Follow-up Report on the development of the ‘Best Practice Principles...

1 min read

ESMA publishes CRA market share calculation

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published its annual market share calculation for EU registered credit rating agencies...