Feb 03, 2022 ESMA’s briefing on tied agents: UK managers in the firing line? By Gavin Haran ESMA’s supervisory briefing on supervisory expectations in relation to firms using tied agents in the MiFID II framework will be...
Jan 07, 2020 ESMA clarifies reporting under the Securities Financing Transactions Regulation By Edward Karsten William Sykes The European Securities and Markets Authority (ESMA) has (i) published its final report and guidelines on reporting under the Securities...
Jan 14, 2019 Crypto-assets present risk of regulatory arbitrage: ESMA By Macfarlanes The European Securities and Markets Authority (ESMA) published a report last week on initial coin-offerings and crypto-assets. The...
Jul 12, 2018 MiFID II implementation - taking stock By Macfarlanes Steven Maijoor, Chair of ESMA, delivered a keynote address at the FESE Convention 2018 in Vienna on 21 June. His speech focused on the...
Jun 20, 2018 Clients must have LEI from 3 July By Macfarlanes The Markets in Financial Instruments Regulation (MiFIR), which was effective on 3 January 2018, requires all firms subject to MiFIR...