European securities and markets authority (esma)
Clearing members would be forced to guarantee trades executed by their clients' clients - on terms the member firms have not agreed
The latest European Securities and Markets Authority guidelines for Ucits ETFs will make life more difficult for physically backed ETFs and point to a growing acceptance of synthetic funds
Insurance Risk and BNY Mellon have conducted a survey to look at how insurance companies are preparing for the new regime and the opportunities and challenges that the changes will bring.
More European securities and markets authority (esma) articles
Not so long ago, the prevailing mood was for less prescriptive, rules-based regulation and more principles-based guidance. Then came the financial crisis. The four years since the collapse of Lehman Brothers have seen an unprecedented flood of new rules,...
Transparency and own-capital ban for OTFs could interfere with “free flow” of market, says Lord Harrison, chair of a House of Lords committee that yesterday warned of fundamental flaws in Europe’s Mifid review
Some clearing houses are adopting loss allocation mechanisms as a last line of defence if one or more clearing members default. That might help a central counterparty get back on an even keel, but what happens afterwards is unknown. Matt Cameron reports...
The Dodd-Frank Act’s new reporting regime could come into force in September, but key elements of the rules are still missing. While dealers try to fill in the gaps, they are also having to prepare for a reporting landscape fragmented across multiple...
UBS lists 64 exchange-traded funds on the London Stock Exchange in a single day – the largest ever daily listing of these products in the UK
Regulators are keen to tackle perceived risks in the ETF market, particularly those of collateral quality and lack of transparency. However, product providers claim they have already responded to many of their concerns. Andrew Capon reports
This paper discusses a number of diverse considerations that risk managers need to incorporate into their thought processes and recurring procedures if they are to fulfill their role more effectively in the future
UK, 18th Dec 2013
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