News & Analysis as of

European Securities and Markets Authority (ESMA) IOSCO

A&O Shearman

Regulatory monitoring - March 2025

A&O Shearman on

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) EU - EBA: Updated methodology on the regulatory and supervisory equivalence of non-EU countries - Status: Final - The EBA has published its updated...more

A&O Shearman

Regulatory monitoring: EU version Newsletter - December 2024

A&O Shearman on

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) International - FSB: Plenary December 2024 - Status: Final - The FSB has set out the outcomes of its Plenary that met on 3 and 4 December. Points of...more

A&O Shearman

Regulatory monitoring - December 2024

A&O Shearman on

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) International - FSB: Plenary December 2024 - Status: Final - The FSB has set out the outcomes of its Plenary that met on 3 and 4 December. Points of...more

Jones Day

IOSCO Releases Consultation on Pre-Hedging Practices

Jones Day on

Pre-hedging has been the subject of significant debate within the financial industry in recent years, with concerns often raised over potential conduct and market integrity issues. The regulatory landscape remains fragmented,...more

A&O Shearman

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

A&O Shearman on

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

A&O Shearman

International Organization of Securities Commissions' Final Report on Post Trade Risk Reduction Services

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The International Organization of Securities Commissions has published its final report on post trade risk reduction services. The report highlights potential policy considerations and risks associated with the using and...more

Proskauer Rose LLP

Regulation Round Up - April 2024

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Financial Markets Infrastructure: The Bank of England published a speech by Sasha Mills, Executive Director, Financial Market Infrastructure, on operational resilience and its expectations of financial market infrastructures...more

Goodwin

Horizon Scan for Private Investment Funds: Key Recent and Expected funds, Regulatory and Tax Developments to look out for -...

Goodwin on

Welcome to the first edition of our Horizon Scan for 2024: key recent and expected funds, regulatory and tax developments to look out for. As before, we focus on the most important developments and changes that we expect to...more

Walkers

Irish Quarterly Legal and Regulatory Report - Asset Management and Investment Funds April – June 2023

Walkers on

In this quarter's edition of the legal and regulatory report, we include a number of key outputs from ESMA, including its updates to Q&As on the application of the AIFMD and the UCITS Directive (outlined at sections 1.2 and...more

Latham & Watkins LLP

EU Consults on Plans for a New Regulatory Regime for ESG Ratings Providers

Latham & Watkins LLP on

An evolving landscape of reforms in the ESG ratings sector continues to pose challenges to providers of ratings and scores. International momentum to regulate ESG ratings continues as the European Commission released a...more

A&O Shearman

Proposed Policy Recommendations for Crypto and Digital Asset Markets

A&O Shearman on

On May 23, 2023, the International Organisation of Securities Commissions launched a consultation on proposed policy recommendations for crypto and digital asset markets. IOSCO is proposing that the final recommendations,...more

Walkers

Irish Quarterly Legal and Regulatory Report - Asset Management and Investment Funds July to September 2022

Walkers on

1.1 ESMA UCITS Q&A updates On 20 July 2022, ESMA published an updated version of its UCITS Q&As with the following new Q&As: Section X: Depository – new Q&As 7 and 8 on reconciliations; and - • Section XIII: Delegation...more

Walkers

Irish Quarterly Legal and Regulatory Report - Asset Management and Investment Funds April - June 2022

Walkers on

On 31 May 2022, the European Union (Undertakings for Collective Investment in Transferable Securities) (Amendment) Regulations 2022 were published in Iris Oifigiúil and will come into operation on 1 January 2023. The...more

A&O Shearman

Regulatory monitoring: EU Version (UPDATED)

A&O Shearman on

Our monthly regulatory newsletter monitors all relevant developments regarding European regulatory law in English language. ...more

A&O Shearman

Great Fund Insights: New ESMA Sustainable Finance Roadmap - What you need to know

A&O Shearman on

ESMA has published a new "Sustainable Finance Roadmap 2022-2024" setting out its strategic priorities and key planned actions for the next three years. ...more

A&O Shearman

Key Regulatory Topics: Weekly Update 14 – 20 January 2022

A&O Shearman on

IOSCO this week published a consultation on measures to address risks from digitalisation of retail marketing and distribution. Here in the UK, the FCA launched its own a consultation on strengthening financial promotion...more

Morgan Lewis - Tech & Sourcing

Global Standard–Setter Publishes Revised Outsourcing Principles

The Board of the International Organization of Securities Commissions (IOSCO) has published a set of revised outsourcing principles for regulated entities. IOSCO is an international policy forum for securities regulators and...more

Hogan Lovells

Securities and markets regulatory news, August 2021

Hogan Lovells on

SMCR for FMIs: HM Treasury consultation HM Treasury has published a consultation paper proposing a Senior Managers and Certification Regime (SMCR or SM&CR) for financial market infrastructures (FMIs). The consultation closes...more

Hogan Lovells

Securities and markets regulatory news, May 2021 #2

Hogan Lovells on

EU SSR: ESMA proposes permanently lowering reporting threshold of net short positions - The European Securities and Markets Authority (ESMA) has published an opinion in which it recommends that the European Commission...more

Hogan Lovells

Securities and markets regulatory news, May 2021

Hogan Lovells on

Draft Financial Markets and Insolvency (Transitional Provision) (EU Exit) (Amendment) Regulations 2021 A draft version of the Financial Markets and Insolvency (Transitional Provision) (EU Exit) (Amendment) Regulations 2021...more

A&O Shearman

Key Regulatory Topics: Weekly Update 26 Feb - 4 Mar 2021

A&O Shearman on

Brexit - FCA provides information on the Temporary Permissions Regime (TPR) On 3 March, the FCA published new webpages providing information on the TPR. Firstly, the FCA published a webpage on how it will supervise firms...more

Hogan Lovells

Securities and markets regulatory news, March 2021 # 2

Hogan Lovells on

Brexit and Debt Capital Markets transactions: some practical perspectives -Following the end of the Brexit transition period, debt capital markets participants may now need to consider both EU rules and the parallel UK rules...more

Hogan Lovells

Securities and markets regulatory news, March 2021

Hogan Lovells on

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

Proskauer Rose LLP

Regulation Round Up - January 2021

Proskauer Rose LLP on

29 January - The Joint Committee of the European Supervisory Authorities (“ESAs”) (that is, the EBA, EIOPA and ESMA) published two consultation papers on the mapping of external credit assessment institutions' (“ECAIs”)...more

K&L Gates LLP

Brussels Regulatory Brief: January 2021

K&L Gates LLP on

ANTITRUST AND COMPETITION - The European Commission Consults on New EU Competition Rules for Distribution Agreements - The Vertical Block Exemption Regulation (VBER) and its accompanying Vertical Guidelines (VGL) are designed...more

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