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European Securities and Markets Authority

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PFOF raises serious investor protection concerns, pFOF causes a clear conflict of interest between the firm and its clients, because it incentivises the firm to choose the third party offering the highest payment, rather than the best possible outcome for its clients when executing their orders.

– European Securities and Markets Authority

Found on Reuters 3 years ago

There were as well diverging views regarding the extent of that regulatory regime.

– European Securities and Markets Authority

Found on Reuters 5 years ago

The number of third country instruments is likely to increase as a consequence of the UK's withdrawal from the EU, while it remains difficult to accurately assess the number of shares that might become third country instruments post-Brexit, due to current uncertainties, under ESMA's current estimation roughly 18 percent of the shares currently reported into FIRDS have their most liquid trading venue located in the UK.

– European Securities and Markets Authority

Found on Reuters 6 years ago

As there is no assurance that a transition period will be agreed upon, entities need to consider the scenario where a hard Brexit would take place on 30 March 2019.

– European Securities and Markets Authority

Found on Reuters 6 years ago

On 30 March 2019, firms must have a fully authorized legal entity located in the EU27 to continue providing services in the EU27.

– European Securities and Markets Authority

Found on Reuters 6 years ago

The capacity of the DLT to fit into the existing regulatory framework may limit its deployment.

– European Securities and Markets Authority

Found on Reuters 8 years ago

The results of the test shows that the system of EU CCPs can overall be assessed as resilient to the stress scenarios used to model extreme but plausible market developments.

– European Securities and Markets Authority

Found on Reuters 8 years ago

Wei Benhua may not have appropriately performed his role as independent non-executive director as required by the Credit Rating Agency Regulation, since he had limited interaction with the internal control functions.

– European Securities and Markets Authority

Found on Reuters 8 years ago

The high fees charged and regular fee increases imposed by some credit rating agencies suggest there may be little effective competition for the provision of credit ratings in some specific market segments within the EU at present, while it is encouraging to see that changes are taking place, we are realistic and know there is still work to be done which is why we have made recommendations relating to further supervisory powers regarding the appointment of independent non-executive directors and enhanced enforcement powers.

– European Securities and Markets Authority