Category Archives: News

European Union – Parliament Beneficial Ownership Access

On Feb. 28, the European Parliament issued a statement on access to beneficial ownership registers. Follows Nov. 8, EU CNCL stated result of meeting corporate tax, AML. EU citizens to access beneficial owner registers without need for legitimate interest. Public register for companies and trusts to make it easier to view owner information. Scope of…
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France – AMF Reminder to Issuers

On Feb. 23, the AMF issued a reminder to listed companies on disclosures. Follows dissemination of a false Vinci press release and impact on share price Nov. 2016. Reminded all issuers to simultaneously send press releases to professional broadcasters. To be communicative outside of quotation periods and guarantee secure transmissions, etc. To set up surveillance…
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BaFIN MiFID II Trading Workshop Notes

On Feb. 21, BaFin issued notes from MiFID II transparency workshop. Position Limits Covered MiFID standards for position limits on commodity derivatives, scope of application. Method for calculating, applying position limits, main business test, secondary activity. Complete Notes
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ESMA Updates Compliance Table, Includes Norway

Updated Compliance Table for the Guidelines on Market Making Activities Under the Short Selling Regulation On Feb. 21, 2017, ESMA issued an updated compliance table as reported by each EU State. This update adds Norway and notes that it compiles or intends to comply with ESMA guidelines. The Compliance Table
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