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Financial Regulatory Developments Focus Blog

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European Securities and Markets Authority Launches 2021 Common Supervisory Action on MiFID II Product Governance Rules

European Union - February 1 2021 The European Securities and Markets Authority has announced that during 2021 it will be conducting a common supervisory action with national…

EU Final Draft Standards on Information for Facilitating Cross-Border Distribution of Funds

European Union - February 1 2021 The European Securities and Markets Authority has published a final report and final draft Implementing Technical Standards setting out the forms…

Proposed EU Guidelines on MiFID II Appropriateness Requirements

European Union - January 29 2021 The European Securities and Markets Authority has opened a consultation on proposed guidelines on the appropriateness and execution-only requirements…

European Securities and Markets Authority Consults on Revised Fees for Credit Rating Agencies

European Union - January 29 2021 Following a request from the European Commission for technical advice on revising the rules on the calculation and payment of fees, the European…

EU Grants Equivalence to More US CCPs

European Union, United Kingdom, USA - January 28 2021 An EU equivalence decision for U.S. CCPs regulated by the U.S. Securities Exchange Commission that are "covered clearing agencies" under the SEC…

EU Delays Securities Settlement Discipline Regime to February 2022

European Union - January 27 2021 EU Regulatory Technical Standards postponing the implementation deadline of the settlement discipline regime under the Central Securities…

Basel Committee on Banking Supervision Consults on Technical Amendments to Rules on Haircuts for Securities Financing Transactions

Switzerland - January 26 2021 The Basel Committee on Banking Supervision has launched a consultation on two proposed technical amendments to the Basel II Framework rules on…

EU Consults on Potential Equivalence for Six Countries For Non-Centrally Cleared OTC Derivatives Risk Mitigation

European Union, USA - January 20 2021 The European Commission has published for consultation draft equivalence decisions for six countries relating to the risk mitigation requirements for…

UK Grants Equivalence to Swiss Exchanges for Purpose of UK Share Trading Obligation

European Union, United Kingdom - January 13 2021 U.K. Legislation has been made granting equivalence to Swiss exchanges under the U.K.'s Markets in Financial Instruments Regulation. The Markets in…

EU Authority Issues Statement on Reverse Solicitation under MiFID II

United Kingdom - January 13 2021 The European Securities and Markets Authority has issued a statement reminding firms of the rules on reverse solicitation under the Markets in…