Finansdepartementet har sendt på höring forslag till forskrifter om transaksjonsrapportering. Forslaget er utarbeidet av Kredittilsynet. Forslaget angir hvilke forpliktelser verdipapirforetak skal ha til å rapportere transaksjoner till Kredittilsynet. Höringsfristen er 1. oktober 2007. Kredittilsynet har i en pressemelding uttalt at “Kredittilsynet arbeider med utviklingen og implementeringen av transaksjonsrapporteringssystemet. Dette arbeidet er icke ferdigstilt, og det antas […]
Archive for the 'www.nordicsecurities.org' Category
Remiss av förslag till föreskrifter om transaktionsrapportering
Published by August 22nd, 2007 in www.nordicsecurities.org, Norway and FSA (NO). 0 CommentsNew version of SSDA’s requirements about transactions reporting
Published by August 9th, 2007 in www.nordicsecurities.org and SSDA (SE). 0 CommentsNew version of SSDA’s paper about transactions reporting requirements dated 2007-07-02.
ESME Report on non-equity markets transparency
Published by July 12th, 2007 in www.nordicsecurities.org and EC. 0 CommentsESME, European Securities Markets Expert Group, has on 2007-07-11 published Report on non-equity markets transparency.
ESME Report on durable medium
Published by July 12th, 2007 in www.nordicsecurities.org and EC. 0 CommentsESME, European Securities Markets Expert Group, has on 2007-07-11 published Report on durable medium - Distance Marketing Directive and Markets in Financial Instruments Directive.
FSA (SE) has transposed MiFID L1 and L2 by regulation
Published by July 11th, 2007 in www.nordicsecurities.org and FSA (SE). 0 CommentsFSA (SE) published on 2007-07-06 new regulations on MiFID L1 and L2,the implementing directive only.
CESR published on 2007-07-03 the list of ‘Liquid Shares’ according to the MIFID, as well as all shares listed on EU Regulated Markets
Statement (with enclosure) from the EU Commission on the supervision of branches.
Norway has transposed MiFID (Level 1) by legislation
Published by June 21st, 2007 in www.nordicsecurities.org and NSDA (NO). 0 CommentsOn 2007-05-29 the Parliment approved the new Act on Securities Trading and the new Act on Regulated Markets and completed transposition of MiFID (Level 1) into national law.
CESR releases statements on Best Execution, Transaction Reporting, Inducements and Passporting
Published by May 29th, 2007 in www.nordicsecurities.org, EU and CESR. 0 CommentsCESR has on 2007-05-29 released feedback statements on: Best Execution, Transaction Reporting, Inducements and Passporting.
France has transposed MiFID by legislation and FSA (FR) regulations
Published by May 29th, 2007 in www.nordicsecurities.org, Other countries and France (FR). 0 CommentsOn 2007-05-21 FSA (FR) announced by a press release their completed transposition of MiFID into national law and regulations by the FSA (FR), apart from minor changes in two specific banking regulations: one about safeguarding clients’ assets and the other on compliance and outsourcing; these new texts are expected soon).
FSA (SE) consults on new proposed regulations on MiFID L1 and L2
Published by May 29th, 2007 in www.nordicsecurities.org, Sweden and FSA (SE). 0 CommentsFSA (SE) published on 2007-05-14 new proposed regulations on MiFID L1 and L2,the implementing directive only. Responses to the consultation are due on 2007-06-08.
EC sends ESC a working document on home/host supervision of branches
Published by May 29th, 2007 in www.nordicsecurities.org, EU and EC. 0 CommentsEC sent on 2007-05-14 to ESC a working document ESC/21/2007 REV1 on supervision of branches under MiFID. The most controversial issue is which competent authority should supervise when a branch office is serving a client from a third country i.e. not from the home nor in the host country.
CESR consults on Non-equity Transparency
Published by May 10th, 2007 in www.nordicsecurities.org, EU and CESR. 0 Comments2007-05-10. CESR issued a call for evidence on 2007-02-06 asking for views on the Commission’s questions with responses due on 2007-03-06. CESR has aimed to include the key points from the responses in this consultation paper (CP). By this paper CESR sets out its views on the questions posed in order to improve its understanding on some points […]
Ministry of Finance (SE) publishes governmental bill on MiFID
Published by April 27th, 2007 in www.nordicsecurities.org, Sweden and Finance Ministry (SE). 0 CommentsMinistry of Finance (SE) published on 2007-04-27 a governmental bill on MiFID. The Parliament will vote on the bill as indicated on 2007-06-14.
SSDA publishes a paper about transaction reporting requirements
Published by April 23rd, 2007 in www.nordicsecurities.org, Sweden, SSDA (SE) and Nordic Countries in common. 0 Commentspaper
CESR 2nd Consultation on Inducements under MiFID
Published by April 16th, 2007 in www.nordicsecurities.org, EU and CESR. 0 CommentsCESR on 2007-04-13 issued a second consultation paper on inducements. Unfortunately, it seems as if the principal comments made jointly by responses from the industry has not been accepted to any greater extent. Responses to this second consultation are due 2007-04-27. CESR will be hosting a second public hearing in Paris on 2007-04-24.
The Ministry of Finance (SE) has submitted draft legislation on MiFID to the law committee
Published by April 16th, 2007 in www.nordicsecurities.org, Sweden, Finance Ministry (SE) and Nordic Countries in common. 0 CommentsThe Ministry of Finance (SE) submitted on 2007-03-06 draft legislation on MiFID to the law committee. The document exceeds 1000 pages. The Swedish Parliament is supposed to vote on the bill on 14th June and the FSA (SE) will issue its regulations on MiFID by August 2007.
Ministry of Finance (NO) has submitted proposed Level 2 regulations implementing MiFID
Published by April 3rd, 2007 in www.nordicsecurities.org, Norway, Finance Ministry (NO) and Nordic Countries in common. 0 CommentsThe Ministry of Finance (NO) has on 2007-03-29 published proposed regulations on MiFID (implementing Level 2). Consultations will be carried out until 2007-05-10.
FSA (DK) issues regulation of investor protection, order handling and disclosure
Published by March 28th, 2007 in www.nordicsecurities.org, Denmark, FSA (DK) and Nordic Countries in common. 0 CommentsFSA (DK) has in March 2007 issued regulations regarding investor protection, order handling and disclosure obligations for issuers.
FSA (UK) publishes Perimeter Guidance relating to MiFID
Published by March 23rd, 2007 in www.nordicsecurities.org, United Kingdom (UK) and FSA (UK). 0 CommentsFSA published on 2007-03-23 Perimeter Guidance relating to MiFID - PS07/5. The guidance will help firms judge whether they fall within the scope of MiFID and should reduce firms’ costs by cutting down on the need for them to obtain legal advice on scope issues. PS07/5 complements FSA’s work in individually assisting firms in understanding their […]
