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Regulatory Agenda Securities Financial Markets

A&O Shearman

ESMA consultation paper on draft guidelines for supplements on new securities to a base prospectus

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The European Securities and Markets Authority (ESMA) has published a consultation paper containing draft guidelines on supplements which introduce new securities to a base prospectus. This is further to the new EU Listing Act...more

A&O Shearman

UK Financial Conduct Authority publishes consultation on the regulatory framework for PISCES

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The U.K. Financial Conduct Authority has published a consultation on the regulatory framework for the Private Intermittent Securities and Capital Exchange System (PISCES), the proposed new platform for trading shares in...more

A&O Shearman

Updated Draft UK Short Selling Regulations Published

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An updated draft version of the Short Selling Regulations 2024, alongside an explanatory memorandum and de minimis impact assessment, have been laid before Parliament. The draft Regulations establish a new legislative...more

A&O Shearman

Mansion House 2024

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Rachel Reeves, the U.K. Chancellor has set out a package of reforms in her Mansion House speech. The reforms aim to drive growth and competitiveness in financial services. Ms. Reeves stated that the regulatory changes...more

A&O Shearman

European Securities and Markets Authority Updates Guidance Under MiFIR Review

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The European Securities and Markets Authority has published an updated version of its manual on post-trade transparency and an updated version of its opinion on the assessment of pre-trade transparency waivers for equity and...more

A&O Shearman

Financial Conduct Authority Consults on New Public Offer Platform Regime

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The Financial Conduct Authority has launched a consultation on proposed rules for a new public offer platform regime, which will allow public offer platforms to facilitate companies making public offers of securities to...more

Jones Day

Hong Kong Stock Exchange Implements Reforms to Relax IPO "Double Dipping" Restrictions

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The Stock Exchange of Hong Kong Limited ("HKEx") introduced a new exemption allowing existing shareholders and cornerstone investors to subscribe for or purchase further securities in an IPO (i.e., to "double dip") under...more

McDermott Will & Schulte

Update Zukunftsfinanzierungsgesetz – Fokus Aktien- und Kapitalmarktrecht

Mit dem ehrgeizigen Ziel, die Leistungsfähigkeit des deutschen Kapitalmarkts zu stärken und die Attraktivität des deutschen Finanzstandortes auf dem europäischen Finanzplatz zu erhöhen, wurde am 12. April 2023 der...more

Burr & Forman

FINRA’s 2017 Regulatory & Exam Priorities

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On January 4, new President and CEO Richard Cook issued FINRA’s Annual Regulatory and Examination Priorities Letter. This year’s list in summary is: New for 2017: Targeted electronic off-site reviews “on select...more

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