Monthly Archives: July 2021

E.U. – ESMA MiFID RTS2 Annual Review

On 28 July 2021, ESMA issued MiFID/MiFIR annual review report on RTS 2. ESMA published MiFID II/MiFIR Annual review report under EC reg 2017/583 (RTS 2). Follows ESMA May 2021 sought input on RTS 2 annual review report. Recommendations ESMA suggests to the European Commission to move to stage 3 for the average daily number…
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Australia – GVT Foreign Investment Reforms

On 27 July 2021, AST GVT consulted on foreign investment reforms review. AST GVT issued consultation on its evaluation of the 2021 foreign investment reforms. Follows AST FIRB February 2021 started evaluation of investment reforms. Foreign Investment Reforms Reforms updated the framework in 3 broad ways: addressed national security risks; strengthened existing system; streamlined investment…
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Germany – BaFin Manager Notification Forms

On 21 July 20 21, GE BaFin issued FAQ on WpIG manager notification forms. GE BaFin FAQ on forms for notifications under WpIG; and appointment of managers. Follows GE BaFin May 2021 FAQs on the IFD/IFR prudential regime. Answer Numerous reporting obligations that were previously regulated for securities institutions in the Banking Act have been…
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