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European Union › Insider Trading

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 -
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

Moore & Van Allen PLLC

“EU Listing Act Introduces Exemptions Allowing Insiders to Trade During Blackout Periods.”

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On November 14, 2024, the EU Listing Act (the “Listing Act”) was published in the Official Journal of the European Union. The Listing Act entails a legislative package designed to improve capital markets access and enhance...more

A&O Shearman

UK Financial Conduct Authority Policy Statement on Changes to Financial Crime Guide

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The U.K. Financial Conduct Authority has published a policy statement on changes to its financial crime guide, following its consultation in April. The changes cover the following areas: (i) sanctions—to reflect information...more

A&O Shearman

UK Financial Conduct Authority Finalized Guidance for Payment Firms that Enables a Risk-Based Approach to Processing Suspected...

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The Financial Conduct Authority has published finalized guidance for payment service providers that enables a risk-based approach to processing suspected fraudulent payments. Following the publication of the Payment Services...more

A&O Shearman

UK Financial Conduct Authority Revises Market Cleanliness Statistic Methodology

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The U.K. Financial Conduct Authority has announced that it is revising the market cleanliness statistic used in its annual report to measure insider trading. In future, the FCA will: (i) detect abnormal price movements that...more

A&O Shearman

EU Final Guidance on Implementation of EU And National Sanctions

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The European Banking Authority has finalized two sets of guidelines setting common standards on the governance arrangements and the policies, procedures, and controls that financial institutions should have in place to be...more

A&O Shearman

Outcomes from Financial Action Taskforce Plenary: October 2024

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The Financial Action Taskforce has published the outcomes from its plenary meeting, which took place between October 23 and 25, 2024. Outcomes include: - the approval of the last two assessment reports in the FATF's...more

A&O Shearman

UK Financial Conduct Authority Cracks Down on Illegal Financial Promotions by 'finfluencers'

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The FCA has announced that it is interviewing 20 'finfluencers' under caution who may be touting financial services products illegally. 'Finfluencers' are social media personalities who use their platform to promote financial...more

A&O Shearman

UK Office of Financial Sanctions Implementation Annual Frozen Asset Review

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The Office of Financial Sanctions Implementation has published a financial sanctions notice reminding firms of their annual frozen assets reporting requirement. Every year HM Treasury carries out a review to update its...more

A&O Shearman

EU Report on Payment Fraud

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The European Central Bank and the European Banking Authority have published a joint report on payment fraud data. The report assesses payment fraud reported by the industry across the EEA and covers semi-annual data reported...more

A&O Shearman

European Banking Authority Announces Anti-Money Laundering Priorities for 2024/25

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The European Banking Authority has published a press release welcoming the entry into force of the new EU framework establishing the Anti-Money Laundering and Countering the Financing of Terrorism Authority. The EBA also...more

A&O Shearman

Directive on Cross-Border Law Enforcement Access to Bank Account Registries Published in Official Journal of the European Union

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Directive (EU) 2024/1654 has been published in the Official Journal of the European Union, amending Directive (EU) 2019/1153 regarding access by competent authorities to centralized bank account registries through the...more

A&O Shearman

European Commission Report on Extension of Powers to Adopt Delegated Acts under MAR

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The European Commission has published a report, addressed to the European Parliament and the Council of the European Union, on the delegation of power to adopt delegated acts conferred on the Commission under the EU Market...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

A&O Shearman

Court of Justice of the European Union Annuls Sanctions Measures

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The Court of Justice of the European Union has decided that the reasons for the EU sanctions measures designating Mr Fridman and Mr Aven (two of the shareholders of LetterOne) were not sufficiently substantiated and their...more

Goodwin

Change to UK Insider Dealing Laws: A Step Towards Coherence

Goodwin on

On 17 April 2023, HM Treasury (HMT) published the draft Insider Dealing (Securities and Regulated Markets) Order 2023 (the Order) and an explanatory memorandum. The Order brings the list of securities captured under the...more

Skadden, Arps, Slate, Meagher & Flom LLP

Multinationals Need To Revisit Their Reporting as New EU Sustainability Disclosure Rules Bite

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At the end of 2022, the European Union adopted a law mandating detailed environmental disclosures and, for the first time, extending its non-financial disclosure requirements to many companies incorporated outside the EU....more

Skadden, Arps, Slate, Meagher & Flom LLP

The Informed Board - Winter 2023

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In the current environment, tax-free spinoffs may be the best option for companies focusing their business lines, we explain in this issue of The Informed Board. Spin-offs do not depend on third parties, and they preserve...more

A&O Shearman

European Supervisory Authorities Publish Report on Digital Finance

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The European Supervisory Authorities (the European Securities and Markets Authority, the European Insurance and Occupational Pensions Authority and the European Banking Authority) have published a joint report on digital...more

A&O Shearman

European Securities and Markets Authority Publishes Final Report on Guidelines for Disclosure of Inside Information and...

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The European Securities and Markets Authority has published its final Market Abuse Guidelines on the disclosure of inside information and interactions with national prudential regulators under the EU Market Abuse Regulation....more

Robins Kaplan LLP

Financial Daily Dose 6.16.2021 | Top Story: Big Tech Critic and Antitrust Scholar Khan Named New FTC Chair

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Fresh off her Senate approval as newest commissioner to the Federal Trade Commission, Lina Khan—“a prominent critic of Big Tech”—has been named chair of the Commission. President Biden’s decision to make the 32-year-old Khan...more

Faegre Drinker Biddle & Reath LLP

FCA: Working from Home Heightens Insider Trading Risks

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In an October 12 speech, the Director of Market Oversight for the Financial Conduct Authority (FCA) emphasized the need to adapt insider trading controls to account for changes in working conditions due to COVID-19...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

A&O Shearman

Financial Action Task Force Report on Stablecoins

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The Financial Action Taskforce has published a report on issues of anti-money laundering and counter-terrorism financing in relation to global stablecoins and stablecoins. The report was mandated by the G20 in October 2019,...more

A&O Shearman

Financial Action Task Force Consults on Updating Guidance for Proliferation Financing Risks

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The Financial Action Task Force has opened a consultation on amendments to Recommendation 1 and its Interpretive Note. Recommendation 1 provides guidance on assessing risks and applying a risk-based approach to money...more

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