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Waivers from pre-trade transparency

The European Securities and Markets Authority (ESMA) published a document setting out waivers from pre-trade transparency under MiFID.

Under the markets in financial instruments directive (MiFID), operators of regulated markets (RMs) and multilateral trading facilities (MTFs) must make public the current bid and offer prices and the depth of trading interests in respect of shares admitted to trading on a regulated market unless exemptions apply. However, MiFID allows competent authorities to waive the obligation for operators of RMs and MTFs regarding pre-trade transparency requirements for shares based on the market model or the type and size of orders.

Authors
European Securities and Markets Authority - ESMA
Date
2016-06
Document Type
Pre-Regulation and Regulation
Source
European Securities and Markets Authority (ESMA)

Recovery and resolution of CCPs: let’s bring the lifeboats in place

Speech by Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA), at the Banque de France’s policy conference on Recovery and Resolution of CCPs, Paris, 24 June 2016.

Authors
Maijoor S.
Date
2016-06
Document Type
Speech
Source
European Securities and Markets Authority (ESMA)

Working document on European deposit insurance scheme (EDIS)

The EU Parliament Committee on Economic and Monetary Affairs (ECON) published a working document on the legislative proposal for EDIS.

Authors
European Parliament
Categories
Date
2016-06
Document Type
Pre-Regulation and Regulation
Source
European Parliament

Consumer trends report 2016

The European Banking Authority (EBA) published its fifth annual 'Consumer trends report', which provides an overview of the trends observed in 2016, the issues that will or could have an impact on consumers and other market participants and the areas where the EBA may take any action, if needed.

The report covers all the products that fall under the EBA's consumer protection mandate, such as mortgages, personal loans, deposits, payment accounts, payment services and electronic money.

See also: press release

Authors
European Banking Authority - EBA
Categories
Date
2016-06
Document Type
Pre-Regulation and Regulation
Source
European Banking Authority (EBA)

Consultation on proposed policy recommendations to address structural vulnerabilities from asset management activities

The Financial Stability Board (FSB) published for public consultation ‘Proposed policy recommendations to address structural vulnerabilities from asset management activities’.

The document sets out 14 proposed policy recommendations to address the following structural vulnerabilities from asset management activities that could potentially present financial stability risks: liquidity mismatch between fund investments and redemption terms and conditions for fund units; leverage within investment funds; operational risk and challenges in transferring investment mandates in stressed conditions; and securities lending activities of asset managers and funds.

Consultation will close on 21 September 2016.

See also: press release

Authors
Financial Stability Board - FSB
Date
2016-06
Document Type
Pre-Regulation and Regulation
Source
Financial Stability Board (FSB)

Statement on priorities regarding data gaps in the asset management industry

The Board of the International Organization of Securities Commissions (IOSCO) issued a public statement outlining its priorities regarding data gaps in the asset management industry. IOSCO considers that more needs to be done to enhance the data collected in this sector and is analysing what data needs should be prioritised. To this end, IOSCO has identified a series of recommendations that will constitute its roadmap in this area. A key priority is to encourage IOSCO members to collect data with a view to better identify systemic risk.

Authors
International Organization of Securities Commissions -IOSCO
Date
2016-06
Document Type
Pre-Regulation and Regulation
Source
International Organization of Securities Commissions (IOSCO)

Report on financial stability in the (re)insurance and occupational pension fund sectors of the European Economic Area

The European Insurance and Occupational Pensions Authority (EIOPA) published its June 2016 report on financial stability in the (re)insurance and occupational pension fund sectors of the European Economic Area.

EIOPA observes an ongoing extremely challenging macro-economic and financial environment. Monetary policy and low crude oil prices imply a protracted low yield environment in the short- to medium-term. In this environment, the "double-hit" scenario cannot be ruled out. Both risks – low yields and a "double-hit" - will be in the focus of EIOPA's Insurance Stress Test 2016.

See also: press release

Authors
European Insurance and Occupational Pensions Authority - EIOPA
Date
2016-06
Document Type
Pre-Regulation and Regulation
Source
European Insurance and Occupational Pensions Authority (EIOPA)

Opinion on inside information disclosure under the MAR

The European Securities and Markets Authority (ESMA) issued an opinion in response to a notification by the European Commission about intended changes on a draft implementing technical standard (ITS) on the disclosure of inside information under the market abuse regulation.

See also: press release

Authors
European Securities and Markets Authority - ESMA
Date
2016-06
Document Type
Pre-Regulation and Regulation
Source
European Securities and Markets Authority (ESMA)

SSM supervisory statement on governance and risk appetite

The European Central Bank (ECB) published a report summarising the findings of a thematic review in which the ECB evaluated the governance and risk appetite frameworks of the banks it directly supervises. The report identifies good practices and concludes that many euro area banks still need to improve to reach best international practices.

See also: press release

Authors
European Central Bank - ECB
Categories
Date
2016-06
Document Type
Pre-Regulation and Regulation
Source
European Central Bank (ECB)

Reports assessing the implementation of the BCBS's frameworks for global and domestic systemically important banks

The Basel Committee on Banking Supervision (BCBS) published reports assessing the implementation of the Committee's frameworks for global and domestic systemically important banks (G-SIBs and D-SIBs). The Committee evaluated the G-SIB and D-SIB frameworks in the five jurisdictions that are currently home to G-SIBs: China, the European Union, Japan, Switzerland and the United States. This is the first assessment to be conducted on a cross-jurisdictional basis, with these five jurisdictions being simultaneously assessed against the Basel framework.

See also: Jurisdiction level assessments together with post Regulatory Consistency Assessment Programme follow-up actions

 

Authors
Bank for International Settlements - BIS
Categories
Date
2016-06
Document Type
Pre-Regulation and Regulation
Source
Bank for International Settlements (BIS)
  • Last Update: Monday 27 June 2016, 16:47.

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