Download PDF Original Article Here
Author: admin
Compliance table – guidelines on APMs ESMA 2015-1415
Download PDF Original Article Here
ESA PUBLIC HEARING ON THE REVIEW OF THE PRIIPS REGULATION
The European Supervisory Authorities (ESAs) organise an online public hearing on Friday 11 February 2022, from 09:30-16:30 CET to discuss the development of their draft Technical Advice to the European Commission regarding the PRIIPs Regulation. Background information on the review of the PRIIPs Regulation The review of the PRIIPs Regulation is part of the European […]
Summary of Conclusions Management Board – 16 November 2021
Download PDF Original Article Here
Supervisory flexibility on the short selling indicator
Transaction reports submitted to the FCA under UK MiFIR must contain a designation to identify a short sale. This information is contained in the short selling indicator (RTS 22, field 62). We are in the early stages of considering policy options for the UK MiFIR transaction reporting regime, including, but not limited to, the future […]
ESMA Budget Amendment n.1 for 2021
Download PDF Original Article Here
FCA to review competition concerns in wholesale data markets
In a market study to begin this summer, the FCA will look into concerns that complex contracts for benchmarks and indices prevent switching to cheaper, better quality or more innovative alternative providers. Benchmarks and indices are used by market participants like asset managers, banks and clearing houses to track and evaluate asset prices and investment […]
SEC Issues Awards Totaling More Than $4 Million to Whistleblowers
Washington D.C., Jan. 10, 2022 — The Securities and Exchange Commission today announced two awards totaling more than $4 million to whistleblowers who provided information and assistance in two separate covered actions. In the first order, the SEC issued an award of approximately $2.6 million to one whistleblower. The whistleblower, who reported internally before reporting […]
SEC Issues Awards Totaling More Than $4 Million to Two Whistleblowers
Washington D.C., Jan. 10, 2022 — The Securities and Exchange Commission today announced two awards totaling more than $4 million to whistleblowers who provided information and assistance in two separate covered actions. In the first order, the SEC issued an award of approximately $2.6 million to one whistleblower. The whistleblower, who reported internally before reporting […]
Joint Committee’s Rules of Procedures
Download PDF Original Article Here