News & Analysis as of

EU Market Abuse Regulation (EU MAR) European Union

Latham & Watkins LLP

EU Listing Act - Regulatory Divergence Between EU and UK MAR

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Until recently, the UK and EU post-Brexit market abuse regimes remained substantially aligned. However, the passing of the EU Listing Act reforms in 2024 has meant that UK and EU MAR have started to diverge meaningfully for...more

McDermott Will & Schulte

CLOs and Material Nonpublic Information: Key Takeaways from the SEC’s Settlement with Sound Point

In this alert, we present the key lessons to be learned from the U.S. Securities and Exchange Commission’s (the SEC) settlement with Sound Point Capital Management, LP (Sound Point), and discuss whether a similar enforcement...more

A&O Shearman

European Securities and Markets Authority consults on technical advice on Listing Act implications

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The European Securities and Markets Authority has published a consultation on technical advice required following changes to the EU Market Abuse Regulation and the Markets in Financial Instruments Directive and Regulation as...more

Walkers

Listing Act – Part 2: Market Abuse Changes

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EU Listing Act package simplifies listing requirements and post-listing obligations. Targeted amendments to MAR remove disproportionate complexity but preserve investor protection....more

Walkers

Listing Act – Part 1: Prospectus Changes

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EU Listing Act package simplifies listing requirements and post-listing obligations. Targeted amendments to the Prospectus Regulation remove disproportionate complexity but preserve investor protection....more

White & Case LLP

EU Listing Act

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On 8 October, 2024, the Council of the EU adopted the EU Listing Act, aimed at making EU public capital markets more attractive and facilitate listings on European stock exchanges. Key amendments affect the EU Prospectus...more

Latham & Watkins LLP

ESMA Sets Out Good Practices for Calls With Analysts Ahead of MAR Closed Periods

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The guidance was issued after ESMA and national regulators observed “high volatility episodes” in EU share prices, some of which took place shortly after pre-close calls with analysts....more

Latham & Watkins LLP

Recent Developments for UK PLCs

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This first edition of 2023 covers recent guidance from the FCA’s Primary Market Bulletin 42 and Market Watch 71, major changes to the Takeover Code’s “acting in concert” presumptions, an FCA penalty for publishing misleading...more

Dorsey & Whitney LLP

FCA Fines Former Chairman of Convatec for Unlawful Disclosure of Inside Information

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The Financial Conduct Authority (FCA) which regulates financial services and markets in the UK has fined Sir Christopher Gent, the former non-executive Chairman of ConvaTec Group Plc (the Company), for unlawfully disclosing...more

Hogan Lovells

eRIIS, a CSSF web platform for filings under the transparency law and the market abuse regulation

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The Commission de Surveillance du Secteur Financier (CSSF) has launched a new web platform called eRIIS which stands for electronic Reporting of Information concerning Issuers of Securities providing issuers and persons...more

Latham & Watkins LLP

European SPACs: Guide to Regulatory Expectations - March 2022

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Special purpose acquisition companies (or SPACs) saw a significant increase in popularity in 2020, which has continued into 2021. This trend, which largely started in the United States, has spread to global capital markets...more

Proskauer Rose LLP

Regulation Round Up - January 2022

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Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. ...more

White & Case LLP

Global Investigations Review: Basic Anatomy of Enforcement Investigations in Europe

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Securities laws across France, Germany and the United Kingdom are widely comparable. Each country recognises the importance of maintaining a strong procedural framework of regulation and enforcement. The EU Market Abuse...more

A&O Shearman

The Market Abuse Regulation: the First Five Years

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July 2021 marks five years since the Market Abuse Regulation (596/2014/EU) (EU MAR) came into force on 3 July 2016. Since then, a myriad of developments has supplemented practitioners’ understanding and interpretation of EU...more

Latham & Watkins LLP

10 Key Focus Areas for UK-Regulated Financial Services Firms in 2021

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In last year’s publication we highlighted the top regulatory focus areas for our clients during 2020, concentrating on wholesale market structures and conduct risk. This publication outlines the primary focus areas in...more

White & Case LLP

Market Abuse Regulation: FCA Review of Delayed Disclosure of Inside Information

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On 11 November 2020, the FCA published a review of delayed disclosure of inside information (DDII) by issuers under MAR as part of its latest Primary Market Bulletin newsletter.  As part of this review the FCA analysed all...more

Jones Day

New Guidance: Inside Information Disclosure by Listed Biotech Companies in Belgium

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The Development: Belgium's financial regulator, the Financial Services and Markets Authority ("FSMA"), published a recent opinion on "Considerations and good practices with respect to inside information disclosures by listed...more

Hogan Lovells

Securities and markets regulatory news, October 2020 # 2

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MiFIR: FCA statement on trade reporting and position limit obligations - The UK Financial Conduct Authority (FCA) has published a statement on trade reporting and position limit obligations under the Markets in Financial...more

Latham & Watkins LLP

The MAR Review — ESMA’s Final Report

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ESMA advises the European Commission to consider some, but not all, of ESMA’s original proposals — and gives guidance on pre-hedging and market soundings along the way. Key Points: ..Pre-hedging / front running: ESMA...more

Latham & Watkins LLP

MAR and Sustainable Investing/ESG

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ESG and the reasonable investor test under MAR. Background - Historically, “profit maximisation” has been regarded as the sole (or predominant) objective for investors. Today, however, an ever-increasing proportion of...more

A&O Shearman

International Organization of Securities Commissions Reports on Liquidity Provision in the Equity Secondary Markets

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The International Organization of Securities Commissions has published a report on liquidity provision in the secondary markets for equity securities...more

Latham & Watkins LLP

Impact of COVID-19 on Italian High Yield Issuers

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A Q&A for Italian high yield issuers, focusing on capital markets implications and best practices. Disclosure Requirements on COVID-19 Impact for High Yield Issuers - Q: How should companies disclose the impact of the...more

White & Case LLP

Bond Repurchases – an Issuer's Guide to Questions to Ask and Points to Consider (March 2020 Update)

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The White & Case Capital Markets team updates its March 2018 publication on bond repurchases given the current environment where issuers may consider whether, if their bonds are trading at a discount to par, they should...more

Hogan Lovells

ESMA releases public statement on COVID-19 – Impact on financial market participants

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On 11 March 2020 ESMA has issued a public statement in relation to the impact of COVID-19 outbreak on financial markets in the European Union. As a result, issuers will have to take action in order to cope with the current...more

McDermott Will & Schulte

COVID-19 Considerations for US and European Public Companies

The Coronavirus (COVID-19) pandemic and the responses of governments and societies to the crisis are having a profound impact on public companies and capital markets worldwide. Such companies, including those in the United...more

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