Regulation of capital markets

Regulation of capital markets guidance:

BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...

Practice Note

Short selling, or 'going short', is a technique whereby traders sell shares or debt instruments ('securities') which they do not own at the time of entering into the...

Practice Note

BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be treated by the EU as a...

Practice Note

Regulating Central Securities Depositories Central securities depositories (CSDs) hold securities in a dematerialised form and provide a clearing and settlement service...

Practice Note

What is a CDO? Core concepts Collateralised debt obligations (CDO) are complex, high-value transactions involving numerous parties, extensive documentation and, usually,...

Practice Note

Coronavirus (COVID-19): ICMA has made generally available to non-ICMA members the ECP materials from its Primary Market Handbook, which were previously available only to...

Practice Note

BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...

Practice Note

This Practice Note considers the obligations regarding the disclosure and control of inside information under the Market Abuse Regulation (EU) No 596/2014 (Market Abuse...

Practice Note

This Practice Note focuses on the disclosures required in respect of transactions by a person discharging managerial responsibility (PDMR) and persons closely associated...

Practice Note

BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be treated by the EU as a...

Practice Note

IOSCO standards For general information on the International Organization of Securities Commissions (IOSCO), see Practice Note: International Organization of Securities...

Practice Note

Role The role of credit rating agents (CRAs) is to provide an objective and analytical opinion on the risk of payment defaults by looking at various factors that help...

Practice Note

BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...

Practice Note

BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...

Practice Note

This timeline tracks the development of the Prospectus Regulation 2017/1129 from 2015. DateIssuing bodyDocumentDescription 18 February 2020ESMAESMA updates its Q&As...

Practice Note

Short selling: the two key types Regulation (EU) 236/2012 on short selling and certain aspects of credit default swaps came into force in the UK on 1 November 2012 and...

Practice Note

Background The Market Abuse Directive (2003/6/EC, commonly referred to as 'MAD') was adopted in 2003 and established a legal framework throughout the European Union (EU)...

Practice Note

Last updated March 2020 Tracker overview This Disclosure Guidance and Transparency Rules Sourcebook (DTR) tracker presents a summary of recent and proposed legislative...

Practice Note

BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...

Practice Note

BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be treated by the EU as a...

Practice Note

BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be treated by the EU as a...

Practice Note

CRA Regulation—background The Credit Rating Agencies Regulation (EC) 1060/2009 (the CRA Regulation) is the core EU legislation relating to Credit Rating Agencies (CRAs)...

Practice Note

Coronavirus (COVID-19): This Practice Note contains information on subjects potentially impacted by the government and regulators' responses to the coronavirus (COVID-19)...

Practice Note

BREXIT: The UK is due to leave the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance...

Practice Note

On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of topics and issues...

Practice Note

BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...

Practice Note
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