Capital Markets & Derivatives


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  • EMIR Newsflash: ESMA regulatory forbearance on derivatives trading obligation


    Submitted: 15 July 2019

    A brief overview of the ESMA public statement on the derivatives trading obligation following the entry into force of EMIR REFIT.

  • Certification Regime Restricted access


    Submitted: 12 July 2019

    Download the slides and watch our recent webinar on demand. The fourth call in our SMCR implementation series focuses on certification regime - how to allocate the client dealing function, managers of certified people, material risk takers and algorithmic traders.

  • Prospectus Regulation – Luxembourg law voted


    Submitted: 03 July 2019

    The Luxembourg Parliament has adopted the new prospectus law.

  • Vision KSA - July 2019


    Submitted: 02 July 2019

    This newsletter is a dedicated platform sharing information and key developments in the Kingdom of Saudi Arabia. This month’s newsletter discusses a variety of topics including the Kingdom’s defence sector, the loan market, cybersecurity and arbitral reform.

  • MAS clarifies regulatory expectations on IAC Guidelines


    Submitted: 01 July 2019

    In our previous bulletin, we analysed the implications of Monetary Authority of Singapore’s (MAS) proposal to expand the scope of the Guidelines on Individual Accountability and Conduct (Guidelines) (CP2). In this sequel bulletin, we recapitulate some of the key points from MAS’ feedback to the first consultation issued recently on 06 June 2019, and chart the timeline and course ahead.

  • The Global LEI System and Other Unique Identifiers


    Last Reviewed: 28 June 2019 / Submitted: 10 February 2014

    An overview of the Global LEI System considering some of its practical implications for financial institutions and, in particular, its relationship to the reporting obligations under EMIR including Unique Transaction Identifiers and Unique Product Identifiers.

  • Difficult issues for smaller asset managers Restricted access


    Submitted: 28 June 2019

    Download the slides and watch our recent webinar on demand. The third of seven calls in our SMCR implementation series focuses on difficult issues for smaller asset managers, including interpretation and application of the partnership rules, core firm proportionality for smaller asset managers, and issues for our US asset manager population.

  • SMCR implementation: The Final Countdown, are you ready? Restricted access


    Submitted: 17 June 2019

    This series of practical webinars is designed to help you find solutions to some of the most commonly asked questions regarding SMCR implementation.

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