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Searching Content by Michelle Moran from Ropes & Gray LLP ordered by Published Date Descending.
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1
FCA Publishes Final Policy Statement On MiFID II Implementation
The statement includes some significant policy decisions by the FCA, affecting the impact of MiFID II on UK asset managers.
UK
5 Jul 2017
2
FCA Publishes Final Report On Competition In UK Asset Management
The FCA's study focussed on the market for retail investors that invest through funds and segregated mandates.
UK
3 Jul 2017
3
FCA Issues Press Releases On Best Execution And Dealing Commission
The FCA issued two important press releases on 3 March 2017, outlining its findings from its recent supervisory work on firms' use of dealing commission and firms ensuring effective oversight of best execution
United States
8 Mar 2017
4
Delay To The Application Date Of The EU Regulation On Packaged Retail And Insurance-Based Investment Products
The European Commission announced on 9 November 2016 an extension to the application date of the Regulation on Key Information Documents for Packaged Retail and Insurance-based Investment Products to 31 December 2017.
European Union
11 Nov 2016
5
Call For Input On The Post-Implementation Review Of The FCA's Crowdfunding Rules
Some of the trends seen for loan-based crowdfunding are also visible in investment-based crowdfunding.
United States
27 Jul 2016
6
Market Abuse Regulation: Implications For Issuers Of Debt Securities
The Market Abuse Regulation will take effect on 3 July 2016. MAR contains rules on insider dealing, unlawful disclosure of inside information and market manipulation that will apply in the European Economic Area.
United States
1 Jul 2016
7
Market Abuse Regulation
The Market Abuse Regulation will take effect on 3 July 2016. MAR contains the rules on insider dealing, unlawful disclosure of inside information and market manipulation that will apply throughout the EEA.
European Union
16 Jun 2016
8
Innovation In The Securities Markets: ESMA Releases Discussion Paper On Distributed Ledger Technologies
The European Securities and Markets Authority ("ESMA") published today a Discussion Paper on the application of "distributed ledger technologies" ("DLT") to securities markets.
European Union
3 Jun 2016
9
CRD IV And UCITS V Remuneration Rules – Their Impact On Asset Managers
CRD IV and UCITS V are the latest iterations of the Directives governing EU credit institutions and investment firms and UCITS funds and management companies.
European Union
4 Dec 2015
10
UK Treasury Releases Consultation Paper Under MiFID II
The consultation paper covers aspects of MiFID II for which new legislation, as opposed to FCA rules, is required.
UK
1 Apr 2015
11
UK Treasury Releases Consultation Paper Under MiFID II
The consultation paper covers aspects of MiFID II for which new legislation, as opposed to FCA rules, is required.
UK
1 Apr 2015
12
FCA Releases Discussion Paper Under MiFID II
The revised Markets in Financial Instruments Directive ("MiFID II") came into force on 2 July 2014.
United States
27 Mar 2015
13
FCA Releases Discussion Paper Under MiFID II
The revised Markets in Financial Instruments Directive ("MiFID II") came into force on 2 July 2014.
United States
27 Mar 2015
14
EMIR – European Commission Responds To Draft RTS On IRS Clearing
The European Commission has publicised its decision to endorse draft regulatory technical standards submitted to it by the European Securities and Markets Authority.
European Union
14 Jan 2015
15
ESMA Releases Level 2 Regulations Under MiFID II
The European Securities and Markets Authority ("ESMA") published today an important new set of rules under the revised Markets in Financial Instruments Directive ("MiFID II"). MiFID II came into force on 2 July 2014.
European Union
19 Dec 2014
16
EU Short Selling – Sovereign Debt
The Council of the European Union has, on 1 December 2014, published a provisional version of a press release announcing its decision not to object to the adoption by the Commission of a regulation on the notification of significant net short positions in sovereign debt.
European Union
11 Dec 2014
17
EU Short Selling – Sovereign Debt
The Council of the European Union has, on 1 December 2014, published a provisional version of a press release announcing its decision not to object to the adoption by the Commission of a regulation on the notification of significant net short positions in sovereign debt.
European Union
11 Dec 2014
18
Regulatory Reporting Under AIFMD – An Update And Comparison To SEC's Form PF
The AIFMD introduces new regulatory reporting requirements for alternative investment fund managers established in the EEA and non-EEA AIFMs that market their fund in an EEA state.
European Union
30 Oct 2014
19
ESMA Plans Phased-In Approach To EMIR OTC Derivatives Clearing
EMIR requires counterparties to clear over-the-counter derivative transactions if the transaction is in a class of trades subject to the clearing obligation.
European Union
2 Oct 2014
20
EMIR Reporting – Further Reporting Obligations Apply In August 2014
This article provides an overview of the additional reporting obligations soon to be in effect under the European Market Infrastructure Regulation.
European Union
29 Jul 2014
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