ESMA News

ESMA updates its LEI Statement

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has published today an updated statement on the implementation of LEI requirements for third-country issuers under the SFTR reporting regime. The updated LEI statement maintains ESMA position as described on 6 January 2020 and provides an extended timeline for the reporting of LEIs […]

ESMA News

ESMA PUBLISHES INTERIM TEMPLATES FOR STS SYNTHETIC SECURITISATION NOTIFICATIONS

The European Securities and Markets Authority (ESMA), the EU’s securities and markets regulator, has published the interim simple, transparent and standardised (STS) notification templates for synthetic securitisations following amendments to the Securitisation Regulation (SECR). The interim templates allow originators to notify ESMA of synthetic securitisations that meet the STS criteria. The amended SECR was published […]

SEC News

SEC Awards Approximately $2.5 Million to Whistleblower

The Securities and Exchange Commission today announced an award of approximately $2.5 million to a whistleblower whose information and ongoing assistance to the staff significantly contributed to the success of an SEC enforcement action. “The whistleblower in this matter provided key evidence that supported charges related to a breach of fiduciary duties owed to investors,” […]