Claire Cummings
Cummings Law Ltd
Articles
ESMA opinion excludes fund managers from MiFIR intervention powers
European Union - January 13 2017 ESMA has published an opinion which excludes fund managers from the scope of intervention powers under MiFIR. Articles 40 and 42 of MiFIR give ESMA...
Implementation of the UK Corporate Governance and Stewardship Codes during 2016
United Kingdom - January 13 2017 The Financial Reporting Council (FRC) has published its annual report on the impact and implementation of the UK Corporate Governance and Stewardship...
EMIR: ESMA publishes methodology for CCP peer reviews
European Union - January 13 2017 ESMA has published the methodology for mandatory peer reviews relating to CCPs' authorisation and supervision under EMIR, which is based on the...
EU work programme to June 2017
European Union - January 13 2017 The Maltese Presidency has published the EU Council's work programme for 1 January to 30 June 2017. Items of interest include the following:...
MiFID II: IT outsourcing
European Union - January 13 2017 The Futures Industry Association has published a due diligence questionnaire for MiFID II investment firms that outsource IT software and...
