News & Analysis as of

European Securities and Markets Authority (ESMA) Enforcement Actions Investors

A&O Shearman

ESMA calls on platform providers to combat unauthorised financial promotions

A&O Shearman on

The European Securities and Markets Authority (ESMA) has issued written letters to several major social media and platform companies—including X, Meta, TikTok, Alphabet, Telegram, Snap, Amazon, Apple, Google and Reddit—urging...more

Jones Day

ESMA Fines Five Banks for Negligently Issuing Credit Ratings

Jones Day on

The Situation: The European Securities and Markets Authority ("ESMA") has fined several banks for negligently issuing credit ratings on a professional basis without obtaining the necessary authorization to be a credit rating...more

Proskauer Rose LLP

Regulation Round Up - February 2017

Proskauer Rose LLP on

The FCA and PRA announced changes to enforcement process with the aim of strengthening the transparency and effectiveness of enforcement decision-making processes. Some of the changes have already come into force, the rest...more

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