Following a joint investigation by the Financial Conduct Authority and City of London Police, the FCA has charged Richard Jonathan Faithfull with one offence of money laundering, contrary to Section 327 of the Proceeds of Crime Act. Mr Faithfull is due to appear at Westminster Magistrates Court on 26 January 2021. The offence relates to activity […]
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ESMA Newsletter – Nº18
25 November ESMA sets out its final view on the derivatives trading obligation (DTO) The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has released a public statementthat clarifies the application of the European Union’s (EU) trading obligation for derivatives (DTO) following the end of the UK’s transition from the EU on […]
SEC Issues Agenda for Dec. 1 Meeting of the Asset Management Advisory Committee
Washington D.C., Nov. 25, 2020 — The Securities and Exchange Commission today released the agenda for the Dec. 1 meeting of the Asset Management Advisory Committee (AMAC). AMAC was formed to provide the Commission with diverse perspectives on asset management and related advice and recommendations. The meeting will include a discussion of matters in the asset […]
20 11 European MMFs Covid-19 – EFAMA Final Report (November 2020)
Publication Date: 25/11/2020 Theme: Financial Markets Topic: Money Market Funds Original Article
ESMA sets out its final view on the derivatives trading obligation (DTO)
The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has released a public statement that clarifies the application of the European Union’s (EU) trading obligation for derivatives (DTO) following the end of the UK’s transition from the EU on 31 December 2020. The statement clarifies that the DTO will continue applying without […]
SEC Investor Advisory Committee to Meet Remotely on Dec. 3
Washington D.C., Nov. 24, 2020 — The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Dec. 3 by remote means. The meeting will begin at 10 a.m. ET, is open to the public via live webcast, and will be archived on the committee’s website for later viewing. The committee will hold […]
SEC Proposes Amendments to Modernize Framework for Securities Offerings and Sales to Workers
Washington D.C., Nov. 24, 2020 — The Securities and Exchange Commission today announced that it has voted to propose amendments to Securities Act Rule 701, which provides an exemption from registration for the issuance of compensatory securities by non-reporting issuers, and Form S-8, the Securities Act registration statement for compensatory offerings by reporting issuers. Additionally, […]
SEC Proposes Temporary Rules to Facilitate Measured Participation by Certain “Platform Workers” in Compensatory Offerings Under Rule 701 and Form S-8
Washington D.C., Nov. 24, 2020 — The Securities and Exchange Commission today voted to propose rules that, on a temporary basis and subject to percentage limits (no more than 15% of annual compensation), dollar limits (no more than $75,000 in three years) and other conditions, would permit an issuer provide equity compensation to certain “platform […]
20 11 Press Release Fact Sheet for Sept 2020
Publication Date: 30/09/2020 Theme: Research and Statistics Topic: Statistics Original Article
20 11 EFAMA Fact Sheet (September 2020)
Publication Date: 24/11/2020 Theme: Research and Statistics Topic: Statistics Original Article