All regulation news

ESMA issues guidance on performance fees in UCITS

06 April 2020 Brussels
Reporter: Maddie Saghir

ESMA highlighted that the guidelines aim to harmonise the way fund managers charge performance fees to retail investors, as well as the circumstances in which performance fees can be paid

ESMA provides COVID-19 clarification for best execution reports under MiFID II

31 March 2020 Brussels
Reporter: Maddie Saghir

ESMA has urged NCAs not to prioritise supervisory action against execution venues and firms in respect of the deadlines of the general best execution reports under MiFID II in light of the COVID-19 pandemic

ESMA consults on technical standards on TRs for EMIR Refit

26 March 2020 Brussels
Reporter: Maddie Saghir

The suggested proposals by ESMA build upon the existing rules as well as the experience in implementing EMIR since 2012

European exchanges pledge to stay open

19 March 2020 London
Reporter: Natalie Turner

Federation of European Securities Exchanges has confirmed that its membership, which constitutes 36 exchanges across Europe, will remain open to combat market disruption caused by the COVID-19 pandemic

SFTR delayed until July, legal explainer

19 March 2020 Paris
Reporter: Drew Nicol

ESMA has requested NCAs do not enforce SFTR until July in response to industry concerns and the market chaos caused by the COVID-19 outbreak

TRAction rolls out MiFID II reporting solution

05 March 2020 London
Reporter: Maddie Saghir

TRAction, a regulatory reporting services provider, has introduced a new solution to help UK and European investment managers with MiFID II obligations

AFME publishes CSDR recommendations

04 March 2020 London
Reporter: Maddie Saghir

AFME’s recommendations aim to encourage greater and more harmonised use of partial settlement across the industry as a way of improving settlement rates

KDPW receives CSDR authorisation

04 March 2020 Warsaw
Reporter: Maddie Saghir

Under the single passport system, the authorisation confirms that KDPW meets the EU’s legal requirements for central securities depositories

Hazeltree collaborates with AcadiaSoft to help clients with UMR

21 February 2020 New York
Reporter: Maddie Saghir

The new initiative will provide the Hazeltree buy-side community with seamless margin calculations for their entire margin workflow, all in a single cloud solution

Financial crisis ramifications rack up $36 billion in fines

03 February 2020 Dublin
Reporter: Maddie Saghir

Fines concerning AML, KYC and sanction violations for global financial institutions have topped $36 billion since the financial crisis, a 160 percent increase in the last 15 months

SteelEye’s services selected by CIAM

13 January 2020 London
Reporter: Maddie Saghir

CIAM calls upon SteelEye to replace its existing setup to future proof their regulatory requirements and adopt a more proactive approach to compliance

MiFID II reporting quality and process struggles continue

05 December 2019 London
Reporter: Becky Bellamy

Firms are still struggling with reporting quality and process in relation to the second Markets in Financial Instruments Directive, according to Cappitech’s second annual MiFID II and Best Execution Survey

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