We are pleased to announce that the recording of our latest MiFID II webinar covering wholesale conduct is now available.
To access the webinar recording please click on the link below to register. Once you have registered, a new page will appear on the screen and click “Launch presentation”.
The European Commission has adopted an Implementing Regulation that amends Implementing Regulation (EU) No.1247/2012 (the earlier Implementing Regulation) laying down implementing technical standards with regard to the format and frequency of trade reports to trade repositories according to the European Market Infrastructure Regulation.
The Implementing Regulation amends the earlier Implementing Regulation by:
The European Securities and Markets Authority (ESMA) has issued detailed reporting instructions and XML schemas under its Financial Instruments Reference Data System (FIRDS).
Specifically ESMA has published:
The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) have jointly issued a consultation paper containing draft guidelines on the assessment of the suitability of members of the management body and key function holders under the Capital Requirements Directive IV (CRD IV) and the Markets
The European Banking Authority (EBA) is mandated by Article 74 of the Capital Requirements Directive IV (CRD IV) to develop guidelines that will further harmonise institutions’ internal governance arrangements, processes and mechanisms.
The EBA has now published a consultation paper containing draft guidelines on internal governance. The draft guidelines complete the
The UK Financial Conduct Authority (FCA) and the US Commodity Futures Trading Commission (CFTC) have signed a memorandum of understanding (MoU) concerning cooperation and the exchange of information in the context of supervising ‘covered firms’.
A ‘covered firm’ is defined in the MoU as an entity physically located in
There has been published on the legislation.gov.uk website the Financial Services and Markets Act 2000 (Ring-fenced Bodies, Core Activities, Excluded Activities and Prohibitions) (Amendment) Order 2016 (the Order). The Order makes certain technical amendments to the Financial Services and Markets Act 2000 (Ring-fenced Bodies and Core Activities) Order 2014 and the Financial Services
The European Commission has adopted an Implementing Regulation amending Implementing Regulation (EU) No. 1247/2012 laying down implementing technical standards with regard to the format and frequency of trade reports to trade repositories under the European Markets Infrastructure Regulation.
The next step will be for the Council of the EU and the European Parliament to consider
The European Securities and Markets Authority (ESMA) has published an updated version of its Q&A on the Market Abuse Regulation (MAR). The purpose of this document is to promote common supervisory approaches and practices in the application of MAR and the related implementing measures. It does this by providing responses to
The PRA has published Policy Statement 29/16: MiFID II: Response to CP9/16 (PS29/16).
PS29/16 sets out final PRA rules that transpose MiFID II in relation to: