The European Securities and Markets Authority (ESMA) has issued a negative opinion on a proposed extension of the emergency short...
PlanetCompliance
SEC has today announced its Office of Compliance Inspections and Examinations’ (OCIE) 2016 priorities. New areas of focus include liquidity controls,...
The Securities and Exchange Commission today announced that hedge fund manager Steven A. Cohen will be prohibited from supervising funds...
The FCA has published its latest Policy Development Update - Issue 29. The Policy Development Update provides information on: publications issued since...
The European Securities and Markets Authority (ESMA) has established three Memoranda of Understanding (MoUs) under the European Markets Infrastructure Regulation...
The European Securities and Markets Authority (ESMA) has today published the results of a targeted review it conducted among five...
The Financial Industry Regulatory Authority (FINRA) today released its 2016 Regulatory and Examination Priorities Letter highlighting three broad issues –...
The European Securities and Markets Authority (ESMA) has published today a Consultation Paper (CP) on guidelines regarding the Markets in...
The European Securities and Markets Authority (ESMA) has published its Guidelines on Cross-Selling Practices under MiFID II (guidelines) to ensure...
The European Securities and Markets Authority (ESMA) published today the results of its follow-up review of national competent authorities’ (NCAs)...
Below you will find a timetable of events and publications of Level 1 and Level 2 measures in relation to...
The European Banking Authority (EBA) launched today a consultation on its draft guidelines on remuneration policies and practices related to...
The European Securities and Markets Authority (ESMA) has published the responses received to the Consultation on indirect clearing under EMIR...
The European Securities and Markets Authority (ESMA) today published its Follow-up Report on the development of the ‘Best Practice Principles...
The European Securities and Markets Authority (ESMA) has published its annual market share calculation for EU registered credit rating agencies...