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ESMA Publishes First Systematic Internalizer Calculations Data for Investment Firms Under MiFID II
  • Katten Muchin Rosenman LLP
  • USA, European Union
  • August 3 2018

On August 1, the European Securities and Markets Authority (ESMA) published the first tranche of data for market participants to determine whether


Are MiFID II research rules affecting UK mid-caps liquidity?
  • Macfarlanes LLP
  • United Kingdom, European Union
  • July 30 2018

The FT this morning reported a drop in analyst numbers covering UK mid-cap companies and a significant drop in the liquidity of their stocks between


Investment Firms Quarterly Legal and Regulatory Update - 1 April to 30 June 2018
  • Dillon Eustace
  • European Union, Ireland
  • July 16 2018

On 3 May 2018, the Central Bank of Ireland ("Central Bank") published a revised edition of its Reporting Requirements for Markets in Financial


Legal and Regulatory Update July 2018
  • William Fry
  • Ireland
  • July 13 2018

On 13 June 2018, the Central Bank of Ireland (the "Central Bank") imposed a fine of 443,000 on Appian Asset Management Limited ("Appian") due to a


Flavour of the year: messages from recent thematic reviews
  • Womble Bond Dickinson (UK) LLP
  • United Kingdom
  • June 28 2018

FCA appears, on the face of it, to have been relatively quiet of late. Its main activities have ostensibly been those forced on it by the need to


Brexit update for financial services firms - week ending 22 June 2018
  • CMS
  • United Kingdom
  • June 28 2018

The week was dominated, again, by the EU (Withdrawal) Bill. The bill has completed the parliamentary process and now only awaits the formality of


Interpretation of MiFID I: ECJ preliminary ruling confirms information given to supervisory authorities by authorised firms can lose its confidential status after 5 years
  • Herbert Smith Freehills LLP
  • European Union
  • June 27 2018

Judgment by the European Court of Justice (ECJ) in the case of Bundesanstalt für Finanzdienstleistungsaufsicht v Baumeister (Case C-1516) (19 June


What you need to know about Luxembourg's MiFID II legislation
  • NautaDutilh
  • Luxembourg
  • June 19 2018

The new Markets in Financial Instruments (MiFID) Act, which transposes the Markets in Financial Instruments Directive and implements the EU Markets in


Update on the new Swiss legislation on financial services and financial institutions - June 2018
  • Lenz & Staehelin
  • Switzerland
  • June 15 2018

The purpose of this Newsflash is to provide an update on the new Swiss legislation on financial services and financial institutions. The Swiss


ESMA Releases Latest Double Volume Cap Data Under MiFID II
  • Katten Muchin Rosenman LLP
  • USA
  • June 15 2018

On June 7, the European Securities and Markets Authority (ESMA) updated its public register with the latest set of double volume cap (DVC) data under