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EU MAR
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EU proposes direct ESMA oversight for major trading venues
We consider industry pushback and sovereignty concerns with Tom Callaby, CMS; and Miroslav Đurić, Taylor Wessing.
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Swedish FSA warns industry on wall-crossing and MAR compliance
The call-out follows recurring suspicions of insider trading in connection to major share transactions.
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Securities dealers must follow recordkeeping rules says Danish FSA
Thematic review points to persistent recordkeeping issues at firms stemming from inadequate controls and use of error-prone manual systems.
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Rules on release of insider information in a protracted process published
ESMA’s final report also includes technical advice on MAR and MiFID, plus where disclosure of information is required because it contrasts with previous announcements.
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ESMA simplifies insider list formatting
Proposed new templates are intended to reduce the administrative burden on listed companies as well as those wishing to list.
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Cantor Fitzgerald Ireland Limited fined €453k for Market Abuse Regulation breaches
Cantor failed to report suspicious transactions and lacked effective governance arrangements for detecting and reporting them.
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AMF fines three individuals for alleged market manipulation
The share price of 39 companies was swayed in order to generate profits for members of the group.
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XLOD London 2024: Regulator insights on the future of risk management and controls
This panel discussion featured experts from the National Futures Association and Dutch financial markets authority AFM.