News & Analysis as of August 11, 2025

Securities Regulation

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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 -

ESMA confirms switch toward single volume cap in October

A&O Shearman on 8/8/2025

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

UK Public Offers and Admissions to Trading Regime

Paul Hastings LLP on 8/1/2025

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

ESMA announces intention to publish guidance on algorithmic pre-trade controls under MiFID II

A&O Shearman on 7/15/2025

The European Securities and Markets Authority (ESMA) has published a press release sharing its view that the pre-trade controls that investment firms have implemented warrant further convergence. The EU Markets in Financial...more

DLT Pilot Regime: ESMA Report Highlights Legal Hurdles and Regulatory Next Steps

Goodwin on 7/10/2025

On 25 June 2025, the European Securities and Markets Authority (ESMA) published its first comprehensive review of the Distributed Ledger Technology (DLT) Pilot Regime, a regulatory sandbox designed to test blockchain-based...more

ESMA publishes technical advice on eligible assets for UCITS

A&O Shearman on 7/8/2025

The European Securities and Markets Authority (ESMA) has published its final technical advice to the European Commission (EC) on the review of the UCITS Eligible Assets Directive (EAD) accompanied by a press release. The EAD...more

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

EC adopts Delegated Regulation to delay the application of Basel 3 market risk prudential requirements by an additional year

A&O Shearman on 6/20/2025

The European Securities and Markets Authority (ESMA) has published a comprehensive set of principles, accompanied by a press release, aimed at strengthening the supervision of third-party risks across the EU financial sector....more

ESMA final reports on the Prospectus Regulation and civil prospectus liability

A&O Shearman on 6/20/2025

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

Industry associations urge ESMA to issue a no-action letter on EMIR 3 AAR implementation

A&O Shearman on 6/19/2025

Four industry associations—EFAMA, EACP, ISDA, and FIA—have published a letter addressed to the European Securities and Markets Authority (ESMA) and the European Commission (EC), raising concerns about the implementation of...more

EC adopts technical standards for the development of consolidated tapes

A&O Shearman on 6/19/2025

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

ESMA Publishes Final Report on Technical Advice Concerning the Prospectus Regulation

Mayer Brown on 6/16/2025

A) BACKGROUND On October 8, 2024, the EU Council adopted the Listing Act – a regulation amending, among other things, the Prospectus Regulation (EU) 2017/1129. Even though the Listing Act went into force on 4 December 2024,...more

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

A&O Shearman on 5/29/2025

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

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

A&O Shearman on 5/29/2025

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

IOSCO publishes final reports on finfluencers, online imitative trading practices and digital engagement practices

A&O Shearman on 5/28/2025

The International Organization of Securities Commissions (IOSCO) has published final reports on finfluencers, online imitative trading practices and digital engagement practices, accompanied by a press release. These reports...more

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

A&O Shearman on 5/28/2025

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

The LathamTECH Podcast — Where Digital Assets Slot Into a Shifting Fintech Regulatory Landscape: Insights From the US, UK, and EU

Latham & Watkins LLP on 5/28/2025

The global fintech industry finds itself experiencing a sea change. The US seems on the cusp of regulatory changes, as the Securities and Exchange Commission shifts its attitude toward digital assets under a new...more

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European Union › Regulatory Requirements › Securities Regulation

ESMA confirms switch toward single volume cap in October

UK Public Offers and Admissions to Trading Regime

ESMA announces intention to publish guidance on algorithmic pre-trade controls under MiFID II

DLT Pilot Regime: ESMA Report Highlights Legal Hurdles and Regulatory Next Steps

ESMA publishes technical advice on eligible assets for UCITS

EC adopts amendments to transparency requirements under MiFIR Review

EC adopts Delegated Regulation to delay the application of Basel 3 market risk prudential requirements by an additional year

ESMA final reports on the Prospectus Regulation and civil prospectus liability

Industry associations urge ESMA to issue a no-action letter on EMIR 3 AAR implementation

EC adopts technical standards for the development of consolidated tapes

ESMA Publishes Final Report on Technical Advice Concerning the Prospectus Regulation

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

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

IOSCO publishes final reports on finfluencers, online imitative trading practices and digital engagement practices

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

The LathamTECH Podcast — Where Digital Assets Slot Into a Shifting Fintech Regulatory Landscape: Insights From the US, UK, and EU

ECON draft amendments to CSDR for move to T+1

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

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

ESMA final guidelines on preventing and detecting market abuse under MiCAR

ESMA report on the quality and use of data

ESG Focus: UK/EU/International ESG Regulation Monthly Round-Up – April 2025

Privacy, Data and Cybersecurity Quick Clicks | Issue 28

EC launches targeted consultation on barriers to EU capital markets integration

ESMA TRV report on fund names: ESG-related changes and their impact on investment flows

European Union › Regulatory Requirements › Securities Regulation

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