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Showing 1 - 10 of 1301 matches filtered by 'MiFID II'

  • ESMA: Waivers and deferrals

    21/11/2022
    ESMA has published its annual report on waivers and deferrals. This looks at the post-Brexit European trading landscape in 2021. ... ESMA recommends the amendment of MiFIR to allow it to request data on the use of waivers and deferrals via the Financial Instruments Transparency System (FITRS) for non-equity instruments as well as amendments relating to ETFs and other matters.
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  • EC: DORA

    18/11/2022
    The Council has published texts of the DORA Regulation and a Directive amending certain other legislation, including CRD. IORP2, MiFID, PSD2,... Solvency II and UCITS.
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  • ESMA: Review of the technical standards under Article 34 of MiFID II

    17/11/2022
    ESMA is consulting on the review of the technical standards under Article 34 of MiFID, covering the provision of investment services... across the EU. This sets out proposed amendments to information that investment firms are required to provide at the passporting stage:. Responses are required by 17 February 2023.
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  • EBA: Regulatory technical standards on specific liquidity measurement for investment firms

    14/11/2022
    EBA has published its final regulatory technical standards on specific liquidity measurement for investment firms under the IFD. Competent authorities... will have to assess all elements specific to each service provided by the investment firm under MiFID and other elements that could have a material impact, such as external factors, group structure, operational or reputational risks.
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  • EC: CSDR/MiFID/Short Selling Regulation – Delegated Regulation

    13/10/2022
    Commission Delegated Regulation (EU) 2022/1930 of 6 July 2022 amending the regulatory technical standards laid down in Delegated Regulation (EU) 2018/1229... as regards the date of application of the provisions related to the buy-in regime has been published in the Official Journal.
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  • ESMA: DLT pilot regime

    27/09/2022
    ESMA has published its report on the DLT pilot regime and compensatory measures on supervisory data. ESMA has concluded that... there is no need to amend the regulatory technical standards on transparency and data reporting requirements before the regime starts applying in March 2023.
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  • FCA: Speech by Sarah Pritchard: How regulation can prepare the ground for economic growth

    27/09/2022
    Text of this speech of 27 September 2022 follows. Topics include: regulatory change and easing the regulatory burden; MiFID and... the advice regime; innovation; market integrity; equity markets review; primary and secondary markets; competition.
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  • ESMA: Investment services to retail clients

    27/09/2022
    ESMA has published a statement addressed to investment firms on the impact of inflation in the context of investment services to... retail clients which reminds firms of relevant MiFID requirements.
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  • ESMA: Market outages

    26/09/2022
    ESMA is consulting on proposed guidance concerning how national competent authorities should ensure that trading venues have appropriate communication protocols in... case of a market outage. The guidance will apply to equity markets and, where applicable, to non-equity instruments. ESMA intends to issue the guidance as an Opinion. Responses are required by 16 December 2022.
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  • ESMA: Final guidelines on MiFID II suitability requirements

    23/09/2022
    ESMA has published its Final Report on Guidelines on certain aspects of the MiFID II suitability requirements.
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