News & Analysis as of August 3, 2025

Financial Markets

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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 -

EC adopts amendments to transparency requirements under MiFIR Review

A&O Shearman on 6/30/2025

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

Delegated regulation on identifying reference data for OTC derivatives published in OJ

A&O Shearman on 5/30/2025

Commission Delegated Regulation (EU) 2025/1003 has been published in the Official Journal of the European Union (OJ), supplementing the EU Markets in Financial Instruments Regulation (MiFIR) as regards over-the-counter...more

Update Kapitalmarkt- und Gesellschaftsrecht

Morrison & Foerster LLP on 1/9/2025

Das ursprünglich am 7. Dezember 2022 durch die EU-Kommission vorgelegte Maßnahmenpaket, das unter dem Titel „EU Listing Act“ bekannt ist, wurde nun endlich im November 2024 im Amtsblatt der Europäischen Union veröffentlicht....more

The Markets in Financial Instruments (Equivalence) (Singapore) Regulations 2024

A&O Shearman on 12/12/2024

The Markets in Financial Instruments (Equivalence) (Singapore) Regulations 2024 have been published, together with an explanatory memorandum and de minimis assessment. The Regulations set out HM Treasury's determination that...more

European Securities and Markets Authority Updates Guidance Under MiFIR Review

A&O Shearman on 10/22/2024

The European Securities and Markets Authority has published an updated version of its manual on post-trade transparency and an updated version of its opinion on the assessment of pre-trade transparency waivers for equity and...more

EU: MiFIR Amendments prohibiting Payment for Order Flow (PFOF) entered into force on 28 March 2024

Hogan Lovells on 4/18/2024

On 8 March 2024, the final consolidated revised Markets in Financial Instruments Regulation (MiFIR) (Regulation (EU) 2024/791) and Markets in Financial Instruments Directive (MiFID II) (Directive (EU) 2024/790) texts were...more

The EU Adopts a Directive Amending MiFID II and MiFIR on Data Transparency, the Consolidated Tape and Payment for Order Flow

Cadwalader, Wickersham & Taft LLP on 2/27/2024

The Council of the European Union has confirmed that it has adopted changes to EU trading rules in the Markets in Financial Instruments Regulation (“MiFIR”) and the Markets in Financial Instruments Directive (“MiFID II”)...more

Regulation Round Up - March 2022

Proskauer Rose LLP on 4/8/2022

Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. Key developments in March 2022: 31 March - The European Securities and...more

Regulation Round Up - November 2021

Proskauer Rose LLP on 12/6/2021

The European Securities and Markets Authority (“ESMA”) published a corrigendum from the European Commission to a set of answers on the application of the EU Sustainable Finance Disclosure Regulation (EU/2019/2088) (“SFDR”)....more

Financial institutions general regulatory news, August 2021

Hogan Lovells on 8/2/2021

Draft Markets in Financial Instruments, Benchmarks and Financial Promotions (Amendment) (EU Exit) Regulations 2021 HM Treasury has published a draft version of the Markets in Financial Instruments, Benchmarks and Financial...more

HMT confirms no more open access for exchange-traded derivatives

Hogan Lovells on 5/25/2021

On 5 May 2020, the HM Treasury confirmed that it plans to remove the open access regime for exchange-traded derivatives (ETDs), which is currently within the UK version of the Markets in Financial Instruments Regulation (UK...more

Securities and markets regulatory news, March 2021 # 3

Hogan Lovells on 3/15/2021

UK Emissions Trading Scheme: Revised draft Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 - A revised draft version of the Recognised Auction Platforms (Amendment and Miscellaneous...more

Securities and markets regulatory news, March 2021

Hogan Lovells on 3/1/2021

UK CCPs: HM Treasury consults on expanded resolution regime - HM Treasury is consulting on an expanded resolution regime for central counterparties (CCPs). HM Treasury intends to revise and expand the UK CCP resolution...more

Regulation Round Up - November 2020

Proskauer Rose LLP on 12/7/2020

30 November - The Prudential Regulation Authority (“PRA”) published a statement about its forthcoming policy statement on implementing the CRD V Directive ((EU) 2019/878). HM Treasury updated its webpage on a call for...more

Securities and markets regulatory news, December 2020

Hogan Lovells on 12/7/2020

Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 - The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (SI...more

ESMA Publishes Final Report on Technical Standards for the Provision of Investment Services by Non-EU Firms

Cadwalader, Wickersham & Taft LLP on 10/2/2020

The European Securities and Markets Authority (ESMA) has published its Final Report (the Final Report) containing draft regulatory and implementing technical standards (RTS and ITS) on the provision of investment services and...more

Securities and markets regulatory news, September 2020 # 3

Hogan Lovells on 9/21/2020

FMI supervision: BoE policy statement on fees regime for 2020/21 - The Bank of England (BoE) has published a policy statement on the fees regime for the supervision of financial market infrastructure (FMI) that will apply...more

Regulation Round Up - July 2020

Proskauer Rose LLP on 8/7/2020

30 July - The Financial Conduct Authority (“FCA”) updated its webpage on the High Court business interruption insurance test case. The Prudential Regulation Authority (“PRA”) published a consultation paper (CP11/20)...more

Securities and markets regulatory news, July 2020 #4

Hogan Lovells on 7/29/2020

Brexit: ISDA updates FAQs - HM Treasury has published a policy statement explaining the government's reasons for extending the transitional period for third-country benchmarks under the retained EU law version of the...more

Securities and markets regulatory news, July 2020 #2

Hogan Lovells on 7/14/2020

Recent regulatory developments of interest to financial institutions and markets. Includes updates on MiFIR open access regime for trading and clearing ETDs and various ESMA Q&A updated....more

European Securities and Markets Authority Publishes Final Report on Frequent Batch Auctions

A&O Shearman on 6/26/2019

The European Securities and Markets Authority has published a final report presenting the feedback to its November 2018 call for evidence, which sought to improve its understanding of "frequent batch" auction systems and...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 6/15/2018

European Financial Industry Developments - BCBS Publishes its Work Program for 2018 and 2019 - On June 5, 2018, the Basel Committee on Banking Supervision ("BCBS") published details of its work program for 2018 and...more

2018 Investment Adviser Update - When it Comes to Regulatory Environment, It’s “Meet the New Boss, Same as the Old Boss”

Robinson & Cole LLP on 5/4/2018

Private equity and hedge fund advisers continue to be subject to an increasing degree of supervision by the Securities and Exchange Commission (SEC) and other governmental agencies and self-regulatory organizations. The...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 1/26/2018

SEC Division of Investment Management Letter on Cryptocurrency Related Investment Products; Joint Statement by SEC and CFTC Enforcement Directors Regarding Virtual Currency Enforcement Actions - On January 18, 2018, in a...more

ESMA Provides Further Information on Transitional Transparency Calculations

Orrick - Finance 20/20 on 1/10/2018

ESMA has recently provided a number of updates to its frequently asked questions as well as a press release in relation to the transitional transparency calculations (“TTCs“) which are relevant to MiFid II and MiFIR. The TTCs...more

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