This category contains 3 posts

Market abuse updates – Corona related and otherwise

There have been several reports around the selling of stocks by Senator Richard Burr, the chairman of the Senate Intelligence Committee as well as  Senator Sen. Kelly Loeffler and others. The allegations are around the selling of the stocks before information was made public about the extent of the spread of the Corona virus, but … Continue reading

ESMA indicates SFTR leeway and other Corona news

ESMA has today issued this statement and this press release, asking NCAs to “not prioritise supervisory actions” with regards to the upcoming start of reporting under SFTR. The first start of reporting date is on 13 April 2020 for credit institutions, investment firms, and relevant third country entities. The statement recognises the pressure on resources … Continue reading

Covid-19 announcements

The impact of the Covid-19/Corona virus is being very widely felt. Several regulators have made announcements that in some way relate to the regulations covered by this blog. These include: The FCA –here- Includes advice on call recording when working remotely. ESMA – here. The Bank of England  – here. As the impact on the … Continue reading