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On April 17, the UK Financial Conduct Authority (FCA) published issue 59 of its Market Watch newsletter. In this issue, the FCA details its findings on the implementation of the revised Markets in Financial Instruments Directive (MiFID II) and the Market Abuse Regulation (MAR).
Continue Reading FCA Publishes Market Watch Newsletter on Transaction Reporting Issues and Market Conduct

On March 29, the European Securities and Markets Association (ESMA) published an updated version of its questions and answers document (Q&As) on the Market Abuse Regulation (MAR). ESMA last updated the Q&As on November 12, 2018 (as reported in the November 16, 2018 edition of the Corporate & Financial Weekly Digest).
Continue Reading ESMA Publishes Updates Q&As on MAR

On December 17, the UK Financial Conduct Authority (FCA) published issue 58 of its Market Watch newsletter. In this issue, the FCA details its findings on a review of the implementation of the Market Abuse Regulation (MAR).
Continue Reading FCA Publishes Market Watch Newsletter With Review of MAR Implementation

On November 12, the European Securities and Markets Authority (ESMA) published version 13 of its questions and answers document (Q&As) on the Market Abuse Regulation (MAR).

The Q&As now include a new question, 7.10, relating to the scope of the trading restrictions for persons discharging managerial responsibilities (PDMRs) during a closed period under MAR.
Continue Reading ESMA Updates Q&As Relating to the Market Abuse Regulation

On September 24, the UK Financial Conduct Authority (FCA) published Issue 56 of Market Watch, its newsletter on market conduct and transaction reporting issues.

Issue 56 contains articles that provide a useful reminder in relation to obligations in relation to market abuse surveillance and payment for order flow (PFOF).
Continue Reading Issue 56 of the FCA’s Market Watch Newsletter Covers Market Abuse Surveillance and PFOF

On December 8, in response to a request by the European Commission (EC), the Commodity Futures Trading Commission issued an order exempting certain multilateral trading facilities (MTFs) and organized trading facilities (OTFs) authorized within the European Union (EU) from the requirement to register with the CFTC as swap execution facilities (SEFs).
Continue Reading CFTC Approves Exemption From SEF Registration Requirements for Multilateral Trading Facilities and Organized Trading Facilities Authorized Within the EU

On December 12, the UK Financial Conduct Authority (FCA) published issue 55 of Market Watch, its newsletter on market conduct and transaction reporting issues.

Similar to Issue 54 of Market Watch (reported in the Corporate & Financial Weekly Digest edition of November 10, 2017), Issue 55 contains articles of relevance to the implementation of the revised Markets in Financial Instruments Directive (MiFID II) and Markets in Financial Instruments Regulation (MiFIR). The articles provide a useful reminder of the following areas in the lead up to the implementation of MiFID II and MiFIR on January 3, 2018:
Continue Reading FCA Publishes Issue 55 of Market Watch Newsletter

On December 14 and 15, the European Securities and Markets Authority (ESMA) published a number of new and updated question and answer documents (Q&As) relating to, among other things, the revised Markets in Financial Instruments Directive (MiFID II) and the Markets in Financial Instruments Regulation (MiFIR).

The Q&As relate to the following topics:

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On October 26, the European Securities and Markets Authority (ESMA) issues an updated question and answer (Q&A) document on the implementation of the EU Market Abuse Regulation (MAR). The latest Q&A includes additional questions and guidance with respect to managers’ transactions, investment recommendations and recommendations for investment strategies.
Continue Reading ESMA Publishes Updated MAR Q&A