Report on Penalties and measures imposed under the AIFMD in 2021

Consultation Paper on MAR GLs on delay in the disclosure of inside information and interactions with prudential supervision

Download PDF Original Article Here

ESMA Publishes Final Report for Guidelines on Internal Control

The purpose of these Guidelines is to communicate what ESMA considers to be the characteristics and components of an effective internal control structure within a CRA. The guidelines are structured according to two main parts, establishing: ESMA’s views on the components and characteristics that should be present in a CRA to demonstrate a strong framework […]

Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II

Download PDF Original Article Here