EU Commission proposes changes to UCITS V and AIFMD safekeeping regimes.
In an attempt to implement the European Securities and Markets Authority (“ESMA”)’s recent opinion on asset segregation and depositary delegation, the EU Commission published two draft Delegated Regulations with the […]
ESMA Q&As on the Market Abuse Regulation (MAR)
ESMA Q&As to promote consistency in the application of the Market Abuse Regulation (MAR) framework in Europe
Legal Entity Identifiers
Transaction reporting obligations for firms subject to MiFID II
Firm Change in Control
ESA (including ESMA) guidelines on changes in control
PRIIPs: Key Information Document Guidelines
At its heart, the Packaged Retail and Insurance-based Investment Products Regulation (“PRIIPs Regulation”) requires retail investors to be provided with a PRIIPS Key Information Document (“KID”) as per Articles 5 and […]
Benchmarks Regulation
Additional European legislation to apply from January 2018
ESMA Remuneration Guidelines: UCITS and AIFMD
Of relevance to: UCITS management companies and AIFMs UCITS V introduced the concept of remuneration policies and practices for management companies – see Regulatory Roundup 75 for details of ESMA’s […]
EuVECA & EuSEF: Update
The European Commission proposes amending regulations covering EuVECAs and EuSEFs.
AIFMD Passport: ESMA Advice re non-EU Jurisdictions
ESMA’s second review of the extension of AIFMD passports has now been published.
Securities Financing Transactions Regulation: Disclosure Obligation
The ‘risks and consequences’ disclosure obligation arising under the Securities Financing Transactions Regulation (2015/2365) (SFTR) applies from 13 July 2016