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European Securities and Markets Authority (ESMA) Derivatives MiFID II

A&O Shearman

ESMA response to EC's review of commodity derivatives markets

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The European Securities and Markets Authority (ESMA) has published a response to the European Commission's consultation on the functioning of commodity derivative markets and certain aspects of spot energy markets. ESMA...more

A&O Shearman

ESMA calls for clarity on the qualification of fractional shares

A&O Shearman on

The European Securities and Markets Authority (ESMA) has published a letter to the European Commission on the inconsistent regulation of trading of fractional shares across the EU. There has been an increase in the...more

Hogan Lovells

European Commission publishes targeted consultation on the functioning of EU commodity derivatives markets and certain aspects of...

Hogan Lovells on

On 26 February 2025, the European Commission published a targeted consultation on the functioning of the EU commodity derivatives markets, with a specific focus on the spot energy markets. The consultation seeks views on a...more

A&O Shearman

International Organization of Securities Commissions Report on Principles for the Regulation and Supervision of Commodity...

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The International Organization of Securities Commissions has published a report on a targeted implementation review on principles for the regulation and supervision of commodity derivatives markets. In October, IOSCO...more

Proskauer Rose LLP

Regulation Round Up - December 2023

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Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. Key developments in December 2023: 21 December - UK / Swiss Regulatory...more

A&O Shearman

UK Financial Conduct Authority Confirms Approach to Supervision of Commodity Derivatives Position Limits Regime

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The U.K. Financial Conduct Authority has published a statement confirming its approach to supervising commodity derivatives position limits. The statement follows the FCA's Supervisory Statement on the operation of the...more

Hogan Lovells

Securities and markets regulatory news, February 2021 # 3

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EMIR: Delegated Regulations on clearing obligation and risk mitigation - The following Delegated Regulations made under the European Market Infrastructure Regulation (EMIR) have been published in the Official Journal of the...more

Latham & Watkins LLP

MiFID Refit - Commission Consults on Review of MiFID II Framework

Latham & Watkins LLP on

The consultation provides a key opportunity for market participants to provide feedback on the regime. Key Points: ..The consultation covers a broad range of MiFID topics and, while framed as a questionnaire, contains...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Updates to Continuing Ed for Securities Professionals and Reviews of...

BROKER-DEALER - SEC Proposes to Modernize Infrastructure for NMS Securities Market Data - On February 14, the Securities and Exchange Commission proposed to modernize the infrastructure for the collection,...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring the Lasted Guidance From the CFTC, the NFA and ESMA

BROKER-DEALER - FINRA Expands Transparency Initiative Related to OTC Equity Trading Volume - The Financial Industry Regulatory Authority (FINRA) previously announced an expansion to its ongoing transparency initiative...more

A&O Shearman

EU Consultation on Changes to Position Limits for Commodity Derivatives

A&O Shearman on

Following its Call for Evidence issued in May this year, the European Securities and Markets Authority has launched a consultation on proposed revisions to the legal framework for position limits and position management in...more

A&O Shearman

EMIR Refit: EU Clarification on Derivatives Trading and Clearing Obligations

A&O Shearman on

The European Securities and Markets Authority has issued a Statement clarifying the application and interaction of the EU derivatives clearing and trading obligations following the entry into force of the revised European...more

Proskauer Rose LLP

Regulation Round Up - June 2019

Proskauer Rose LLP on

1 June - HM Treasury published a consultation paper (dated May 2019) on the regulation of pre-paid funeral plans. HM Treasury intends to bring all funeral plan providers within the remit of the FCA....more

A&O Shearman

Further Extension of the EU Contracts for Difference Product Intervention Measures

A&O Shearman on

The European Securities and Markets Authority has issued a Decision renewing and amending the temporary restriction on the marketing, distribution or sale of contracts for difference to retail clients. This has now been...more

A&O Shearman

UK Regulator Delays Final Product Intervention Measures on Contracts for Difference

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The Financial Conduct Authority has published a statement on the delay to publication of final rules for contracts for difference products and CfD-like options. The FCA has consulted on its proposals to make European...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Brexit/No-Deal Brexit Preparations and the Latest FINRA Guidance on...

BROKER-DEALER - FINRA Issues Guidance on FOCUS Reporting for Operating Leases - On March 19, the Financial Industry Regulatory Authority, Inc. (FINRA) released Regulatory Notice 19-08 to provide guidance to members for...more

Herbert Smith Freehills Kramer

Cooperation in Derivatives in a No-Deal Brexit Environment

With the date for the United Kingdom to leave the European Union rapidly approaching, several recent developments concerning derivatives (both legal and political) are likely to be of interest to UK and EU27 counterparties....more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on FINRA and the FCA Offering Guidance on Cryptocurrencies

BROKER-DEALER - FINRA Releases 2019 Annual Risk Monitoring and Examination Priorities Letter - On January 22, the Financial Industry Regulatory Authority (FINRA) issued its annual Risk Monitoring and Examination...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on CFTC Proposed CPO and CTA Regulations, Brexit Statutory Instruments and...

CFTC - CFTC Approves Proposed Regulations for CPOs and CTAs - On October 9, the Commodity Futures Trading Commission approved proposed rules intended to simplify regulations for commodity pool operators (CPOs) and...more

A&O Shearman

European Supervisory Authority Issues Opinion on Position Limits for UK Natural Gas Derivatives

A&O Shearman on

The European Securities and Markets Authority has published an Opinion (dated September 24, 2018) on position limits for U.K. Natural Gas Contracts, for the purposes of the position limit regime established by the revised...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Topics on Broker/Dealer and UK/EU Developments

BROKER-DEALER - Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits - The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to...more

A&O Shearman

Key Regulatory Topics: Weekly Update - 15 December 2017 – 21 December 2017

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BREXIT - CBI Brexit guide to EU bodies and regulators: financial services aspects - On 21 December, the CBI published a guide to the EU bodies and regulators that matter to business in the Brexit negotiations, including...more

Orrick - Finance 20/20

ESMA Publishes Two Revised Opinions on Transaction on Third-Country Trading Venues

Orrick - Finance 20/20 on

On December 15, 2017, European Securities and Markets Authority (“ESMA“) published two revised opinions on third-country trading venues for post-trade transparency and position limits requirements under MiFID II. ...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, Derivatives, CFTC and UK/EU Developments

BROKER-DEALER - FINRA Releases New Targeted Exam Letter Regarding Order Routing Conflicts - On November 10, the Financial Industry Regulatory Authority released the contents of a new Order Routing Conflicts targeted...more

K&L Gates LLP

MiFID II Toolkit for Global Investment Managers

K&L Gates LLP on

Changes to the MiFID II regulatory regime will impose new obligations on many global investment managers that, to date, have avoided substantive regulation in the European Union ("EU"). While the precise scope of these...more

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