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Results: 1-10 of 4,344

ESMA confirms TR delay
  • Dentons
  • European Union
  • September 20 2013

ESMA has published an updated version of its timeline EMIR. It had hoped to make the first registration decisions on TRs in late September but says


Financial Regulatory Developments 16 May - European Banking Authority (EBA)
  • Dentons
  • European Union
  • May 16 2014

EBA is consulting, until 7 July, on draft Regulatory Technical Standards (RTS) on the conditions to national authorities' exercise of their


OSC disclosure obligations under the Securities Act (Ontario)
  • Dentons
  • Canada
  • June 6 2013

On January 11, 2013, the Ontario Superior Court of Justice (Divisional Court) delivered its decision in Re Rankin, upholding the decision of the


FCA publishes AIF depositary forms
  • Dentons
  • United Kingdom
  • June 7 2013

FCA has published in draft forms that authorised firms wanting to vary their permission to become Alternative Investment Fund (AIF) depositaries can


FINRA and social media
  • Dentons
  • USA
  • June 24 2013

This past month the U.S. Financial Industry Regulatory Authority (FINRA) posted to its website a targeted examination letter that it has sent to


CSA issues prospectus disclosure guidance for issuers with short-term liquidity concerns or raising insufficient proceeds
  • Dentons
  • Canada
  • April 16 2012

CSA issues prospectus disclosure guidance for issuers with short-term liquidity concerns or raising insufficient proceeds


Canadian regulators sign MOU with ESMA regarding supervision of credit rating agencies
  • Dentons
  • Canada
  • April 16 2012

On March 7, 2012, the Ontario Securities Commission, the Quebec’s Authorité des Marches Financiers and the British Columbia Securities Commission entered into a Supervisory Memorandum of Understanding (Supervisory MOU) with the European Security Markets Authority (ESMA) concerning the regulatory cooperation in the supervision of credit rating agencies that operate in both the European Union and Canada


Financial Regulatory Developments 13th December - Investment Management Association (IMA)
  • Dentons
  • United Kingdom
  • December 13 2013

IMA has issued a set of outsourcing principles, to address regulatory concerns about outsourcing in the asset management sector. The principles


Financial Regulatory Developments 29 November 2013 - Council of the European Union (Council)
  • Dentons
  • European Union
  • November 29 2013

The Council has published proposed amendments to the PRIPs Regulation from EP (see FReD 22 November) and from


Financial Regulatory Developments 29 November 2013 - European Banking Authority (EBA)
  • Dentons
  • European Union
  • November 29 2013

As part of its Level 2 work on the Capital Requirements Regulation (CRR) EBA is now, and until 24