Planet Compliance

1 min read

ESMA publishes accounting enforcement decisions on IFRS financial statements

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published an extract from its confidential database of enforcement decisions on financial...

2 min read

CFTC Unanimously Approves Proposed Rule on Automated Trading

PlanetCompliance

The U.S. Commodity Futures Trading Commission (Commission) today unanimously approved proposed rules that mark a comprehensive regulatory response to the...

1 min read

ESMA will not exempt the collateralisation of bank guarantees for energy derivatives under EMIR

PlanetCompliance

The European Securities and Markets Authority (ESMA) has decided not to further extend the existing grace period of three years...

1 min read

ESMA consults on the validation and review of CRAs’ methodologies

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published its Discussion Paper (DP) on the validation and review of Credit...

3 min read

MiFID – The origins

PlanetCompliance

MiFID is the Markets in Financial Instruments Directive (Directive 2004/39/EC). In force since November 2007, this directive governs the provision of...

3 min read

An Introduction to AML – Part 2: Methods of Money Laundering

PlanetCompliance

Money laundering can take several forms, although most methods can be categorized into one of a few types. These include...

1 min read

An Introduction to AML

PlanetCompliance

It is said that the term “Money Laundering” has its origin in the practice of mafia groups in the 1920s...

4 min read

What is Market Abuse?

PlanetCompliance

What is Market Abuse? Everyone seems to have an idea of what it is supposed to be, but what does...

1 min read

ESMA Chair and ED give statements to ECON on leading ESMA for a further 5 years

PlanetCompliance

Steven Maijoor and Verena Ross, the European Securities and Markets Authority (ESMA) Chair and Executive Director respectively, have delivered statements...

1 min read

MiFID: ESMA makes available pan-EU data on suspensions and removals from trading

PlanetCompliance

The European Securities and Markets Authority (ESMA) has  launched today a new database which makes available information on suspensions and...

3 min read

Terrorist Financing: FATF Report to G20 Leaders

PlanetCompliance

Today, the Financial Action Task Force (FATF) published its report to G20 Leaders on the global implementation of key counter-terrorist...

2 min read

ESMA updates EMIR standards on data reporting

PlanetCompliance

The European Securities and Markets Authority (ESMA) has published today an update of existing technical standards regarding data reporting requirements...

2 min read

ESAs consults on PRIIPs Key Information Documents

PlanetCompliance

The Joint Committee of the European Supervisory Authorities (ESAs) – EBA, EIOPA and ESMA – has launched its Joint Consultation...

2 min read

ESAs define risk weights for credit ratings in the EU

PlanetCompliance

The Joint Committee of the three European Supervisory Authorities (EBA, EIOPA and ESMA - ESAs) has published today two draft...

2 min read

ESMA proposes central clearing for Norwegian, Polish and Swedish interest rate swaps

PlanetCompliance

The European Securities and Markets Authority (ESMA) has today published additional draft regulatory technical standards (RTS) regarding the central clearing...