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European Union › Capital Markets › Regulatory Requirements

The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of... more +
The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -
A&O Shearman

Prospectus Regime Changes in the EU and UK—A Debt Capital Markets Update

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The EU and UK prospectus regimes govern disclosure requirements for securities offered to the public and/or admitted to trading on a regulated market. Recent and forthcoming changes to these regimes have implications for...more

Haynes Boone

EBA Clarifies Conditional Sale Agreements Cannot Confer Originator Status Under EUSR

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Overview On Aug. 8, 2025, the European Banking Authority (“EBA”) published a response to a 2021 query concerning whether an entity that manages or establishes a securitisation could qualify as an “originator” (and thereby be...more

White & Case LLP

European Defence Bonds – Can Capital Markets Fund Europe’s Security?

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The European Commission unveiled new measures to help Member States ramp up defence spending by 2030 among mounting concerns about Europe's security. The proposals reflect a renewed push to coordinate spending and provide...more

Jones Day

ESMA Clarifies Position on Documents Incorporated by Reference in Prospectuses

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Following up on its earlier clarification around future incorporation by reference under Regulation (EU) 2017/1129 (the "Prospectus Regulation"), the European Securities and Markets Authority ("ESMA") published its final...more

A&O Shearman

ESMA confirms switch toward single volume cap in October

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The European Securities and Markets Authority (ESMA) has published a press release to confirm that, effective from October, the EU will transition from the current double volume cap (DVC) mechanism to a single volume cap...more

A&O Shearman

EC consults on draft Delegated Regulation on fees payable to ESMA following BMR review

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The European Commission has published a proposed draft Delegated Regulation on supervisory fees under the revised EU Benchmarks Regulation...more

Paul Hastings LLP

UK Public Offers and Admissions to Trading Regime

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The principal regulations governing offers of securities to the public and admissions of securities to trading on regulated markets in the United Kingdom, including the requirements for a prospectus, are contained in the UK...more

A&O Shearman

ESMA announces first CTP for bonds in the EU

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The European Securities and Markets Authority (ESMA) has announced the selection of Ediphy (fairCT), a fintech company, as the first consolidated tape provider for bonds in the EU. The decision marks a significant step...more

A&O Shearman

Corrigendum to EMIR 3 clarifies AML/CFT references

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A Corrigendum to Regulation (EU) 2024/2987, referred to as the revised European Market Infrastructure Regulation (EMIR 3), has been published in the Official Journal of the European Union. This Regulation amends Regulations...more

A&O Shearman

ESMA consults on draft RTS for margin transparency requirements and clearing costs

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The European Securities and Markets Authority (ESMA) has published two consultation papers (CP) proposing draft regulatory technical standards (RTS) mandated under the review of European Market Infrastructure Regulation (EMIR...more

A&O Shearman

Final draft RTS on EU active account requirement published

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Following its consultation, the European Securities and Markets Authority (ESMA) has published a final report, including final draft regulatory technical standards (RTS), on the conditions of the Active Account Requirement...more

A&O Shearman

EC adopts amendments to transparency requirements under MiFIR Review

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The European Commission has adopted a Commission Delegated Regulation to amend regulatory technical standards (RTS) on transparency requirements. The MiFIR Review revised the Markets in Financial Instruments Regulation...more

A&O Shearman

ESMA final reports on the Prospectus Regulation and civil prospectus liability

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The European Securities and Markets Authority (ESMA) has published two final reports providing technical advice to the European Commission (EC). The final report on prospectus regulation forms part of ESMA's technical advice...more

Hogan Lovells

ESMA guidance for new rules on incorporation by reference for prospectuses and interaction with the EuGB Regulation

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ESMA has recently provided some answers to questions from market participants on the new rules around incorporation by reference under the EU Prospectus Regulation. This follows the changes brought in under the EU Listing Act...more

A&O Shearman

EC adopts technical standards for the development of consolidated tapes

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The European Commission (EC) has adopted a suite of technical standards for the development of consolidated tapes. The creation of consolidated tapes and the removal of obstacles to the development of consolidated tapes, were...more

Herbert Smith Freehills Kramer

UK Securitisation Framework Update

Herbert Smith Freehills Kramer on

The UK Securitisation Framework came into force on 1 November 2024 and revoked the previous EU legislation that had been retained under UK law ("Previous UK SR"). The new regime represents a significant shift in the way that...more

A&O Shearman

EC Omnibus IV proposal to reduce burdens for small mid-cap companies

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The European Commission has published its Omnibus IV legislative proposal, together with a press release, for a Directive amending the Markets in Financial Instruments Directive II (MiFID II) and the Critical Entities...more

A&O Shearman

ESMA launches call for evidence on retail investor journey under MiFID II

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The European Securities and Markets Authority (ESMA) has launched a call for evidence (CfE), accompanied by a press release, to gather input on the retail investor journey in capital markets under the revised EU Markets in...more

A&O Shearman

Benchmarks Regulation published in the Official Journal of EU

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Regulation (EU) 2025/914 amending the EU Benchmarks Regulation has been published in the Official Journal of the EU. The amending Regulation amends the scope of the rules for benchmarks...more

A&O Shearman

ECON adopts proposal on shortening of the settlement cycle to T+1 for CSDR

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European Parliament's Committee on Economic and Monetary Affairs has adopted a proposal to amend the Central Securities Depositories Regulation (CSDR), introducing a shorter settlement cycle for transferable securities...more

A&O Shearman

ECON draft report on access to finance for SMEs and scale-ups

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The European Parliament's Committee on Economic and Monetary Affairs (ECON) has published a draft report (dated 13 May) and motion for a European Parliament resolution on improving access to finance for SMEs and scale-ups....more

A&O Shearman

ECON draft amendments to CSDR for move to T+1

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The European Parliament's Committee on Economic and Monetary Affairs (ECON) has published a report proposing amendments to the European Commission's proposal to amend Regulation (EU) No 909/2014 (CSDR) as regards shortening...more

A&O Shearman

ESMA final report on technical advice for MAR and MiFID II SME Growth Markets

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The European Securities and Markets Authority (ESMA) has published its final report providing technical advice to the European Commission (EC) on changes made by the Listing Act to the Market Abuse Regulation (MAR) and the...more

A&O Shearman

CTPs brought into scope of ESMA rules for DRSP fines and fees

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The European Commission has adopted delegated regulations amending the rules for data reporting service providers (DRSP) fines and fees to include consolidated tape providers (CTPs) in scope. Previously, the relevant...more

A&O Shearman

Delegated regulation amending RTS on supervisory delta of call and commodity risk options published in the OJ

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Commission Delegated Regulation (EU) 2025/855 amending regulatory technical standards (RTS) laid down in Delegated Regulation (EU) 2021/931 as regards the specification of the formula for calculating the supervisory delta of...more

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