Planet Compliance

ESMA clarifies delegation of functions and other aspects under AIFMD

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The European Securities and Markets Authority (ESMA) has published an updated questions and answers document (Q&A) on the application of the Alternative Investment Fund Managers Directive (AIFMD). The Alternative Investment Fund Managers Directive (AIFMD) puts in place a comprehensive framework for the regulation of alternative investment fund managers within Europe. The extensive requirements with which …

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ESMA asks Commission to delay central clearing for small financial counterparties

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The European Securities and Markets Authority (ESMA) has published today its final report regarding the amended application of the clearing obligation that financial counterparties with a limited volume of activity in OTC derivatives need to comply with under the European Market Infrastructure Regulation (EMIR). Due to a range of reasons covered in the report, in …

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FinTech Innovation – An interview with Paolo Sironi

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Bestselling FinTech author, Global Industry Strategist, Experienced Quant and Risk Manager, International Keynote Speaker, FinTech Entrepreneur and Thought Leader: Paolo Sironi is a true FinTech superstar! He recently published his latest book, “FinTech Innovation: From Robo-Advisors to Goal Based Investing and Gamification”, and Jochen Heussner got a chance to talk to him about the book, …

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Commission invites European Supervisory Authorities to amend PRIIPs rules and develop guidance

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The European Supervisory Authorities (ESAs) – the European Banking Authority (EBA), European Securities and Markets Authority (ESMA) and European Insurance and Occupational Pensions Authority (EIOPA) – have received a letter from the European Commission setting out the amendments it proposes to make to the draft regulatory technical standards (RTS) on key information documents (KID) for …

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Call for Input: The Planet Compliance RegTech Directory

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We are proud to present the PlanetCompliance RegTech Directory BETA, a light version of our upcoming publication! In the last couple weeks and months we have been conducting extensive research on the RegTech community. Based on this we have already published a series of articles on top companies in our seven RegTech categories. Now we …

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ESMA consults on transparency rules for package orders under MiFID II

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The European Securities and Markets Authority (ESMA) has opened today a public consultation on draft regulatory technical standards (RTS) regarding the treatment of package orders under the amended Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). Overall, MiFID II aims at increasing market integrity, transparency and efficiency. Package transactions are interlinked financial transactions …

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ESMA finalises advice on future rules for financial benchmarks

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The European Securities and Markets Authority (ESMA) has finalised its technical advice to the European Commission on important aspects of future rules for benchmarks. In particular, ESMA provides advice on: how benchmarks’ reference values can be calculated by using data reporting structures under existing EU rules such as MiFID II and EMIR; some of the …

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Commission extends the application date of the PRIIPs Regulation by one year

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The Commission has today proposed an extension to the date of application of the Regulation on Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs). This one-year extension is being proposed exceptionally in the interest of ensuring a smooth implementation for European consumers and to ensure legal certainty for the sector. The PRIIPs …

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Protected: 5 Top RegTechs in General Compliance

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IOSCO consults on Other CRA Products and their use by market participants

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The Board of the International Organization of Securities Commissions (IOSCO) today published a consultation report titled Other CRA Products, which seeks further insight into how market participants use non-traditional, products or services offered by credit rating agencies (CRAs). The objective of the consultation report is to clarify information provided by respondents to two survey questionnaires …

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ESMA clarifies delegation of functions and other aspects under AIFMD

ESMA asks Commission to delay central clearing for small financial counterparties

FinTech Innovation – An interview with Paolo Sironi

Commission invites European Supervisory Authorities to amend PRIIPs rules and develop guidance

ESMA consults on transparency rules for package orders under MiFID II

ESMA finalises advice on future rules for financial benchmarks

Commission extends the application date of the PRIIPs Regulation by one year

Protected: 5 Top RegTechs in General Compliance

IOSCO consults on Other CRA Products and their use by market participants

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