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European Securities and Markets Authority (ESMA) Internal Controls Compliance

K&L Gates LLP

Europe: ESMA and National Regulators Launch Coordinated Review of Fund Manager Compliance and Internal Audit Functions

K&L Gates LLP on

On 14 February 2025, the EU’s securities and markets regulator, the European Securities and Markets Authority (ESMA), launched a Common Supervisory Action (CSA) with EU Member State National Competent Authorities (NCAs), in...more

A&O Shearman

European Securities and Markets Authority Launches Consultation on Credit Ratings Agencies’ Internal Control Functions

A&O Shearman on

The European Securities and Markets Authority has launched a consultation on its proposed guidelines setting out the criteria that Credit Ratings Agencies should have in place to demonstrate that their internal control...more

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