All regulation news

Euronext SRD II survey sees dramatic rise in shareholder identification engagement

04 December 2023 France
Reporter: Lucy Carter

More than 5000 European listed companies participated in the research, with companies analysed across Belgium, France, Germany, the Netherlands and Portugal

SEC issues final rules relating to CCP governance and service outsourcing

17 November 2023 US
Reporter: Bob Currie

The final rules, adopted yesterday, look to reinforce governance standards relating to board independence, CCP use of external service providers, and steps to reduce potential conflicts of interest relating to board members and senior management

Droit and KOR partner on regulatory reporting solution

15 November 2023 UK
Reporter: Lucy Carter

Computational law and regulation-focused technology firm Droit has partnered with reporting services and trade repositories provider KOR to address industry challenges around regulatory change

ESMA announces cyber risk USSP

10 November 2023 Europe
Reporter: Lucy Carter

Through the new Union Strategic Supervisory Priority, ESMA hopes to keep pace with technology and market developments, monitor potential contagion effects of attacks and track disruptions across markets and firms

EFAMA approves AIFMD and UCITS review decisions

06 November 2023 Belgium
Reporter: Lucy Carter

The European Fund and Asset Management Association has commended the European Commission and co-legislators for maintaining the key elements of both the AIFMD and UCITS frameworks during the regulations’ review

ESMA publishes European share market structure evolution article

31 October 2023 Europe
Reporter: Lucy Carter

The report follows market structures between 2019 and 2022, placing a particular focus on the impact of Brexit and the UK’s “pivotal role” in equity markets

UK regulators report back on AI and Machine Learning consultation

26 October 2023 UK
Reporter: Bob Currie

Feedback statement publishes anonymised summary of consultation responses reflecting on how AI may impact regulators’ ability to deliver prudential and conduct of business supervision in the UK financial sector

ESMA and EBA publish joint guidelines consultation paper

23 October 2023 Europe
Reporter: Lucy Carter

The European Banking Authority and the European Securities and Markets Authority have released a consultation paper on two draft joint guidelines under the Markets in Crypto-Assets regulation

ESMA publishes MiCA advice

18 October 2023 Europe
Reporter: Lucy Carter

In a letter to the Economic and Financial Affairs Council, ESMA has encouraged European member states to put preparations in place for the upcoming markets in crypto assets regulation

SEC adopts Rule 10c-1 relating to reporting of sec lending trades

16 October 2023 US
Reporter: Bob Currie

Almost 18 months after the close of its two-stage public consultation, the US securities regulator has released final rules for implementation of Rule 10c-1 relating to the reporting of securities lending transactions

ESMA launches Commission Delegated Regulation revision consultation

13 October 2023 Europe
Reporter: Lucy Carter

The proposals regard fees charged to Tier 1 third country central counterparties under the European Market Infrastructure Regulation

Wolters Kluwer updates OneSumX for Basel requirements

05 October 2023 UK
Reporter: Lucy Carter

OneSumX for Basel covers standardised and advanced approaches across all risk types and bank sizes, and allows users to manage the reporting process from start to end

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