Financial Regulatory
Dictionary (Jargon) of Financial Regulatory
The language of the financial regulatory environment is complex and an entry barrier to understanding its regulation.
Market Infrastructure Dictionary (Jargon)
This Market Infrastructure (Jargon) Dictionary is a section of a financial regulatory dictionary.
Collective Investment Institution Dictionary (Jargon)
This Jargon Dictionary of Collective Investment Institution is a section of a financial regulatory dictionary.
Investment Firm Dictionary (Jargon)
This Investment Firm Jargon is a section of a financial regulatory dictionary.
2020: ESMA Changes to the Compliance function
ESMA has published in June its new guidelines on the compliance function established by MiFID II. These apply to investment services firms, credit institutions, UCITS and FIAs.
What is a “professional” client for the purposes of MiFID and the Supreme Court?
The MiFiD (Market in Financial Instruments Directive) is the sum of Directives 2004/39/EC, 2006/73/EC together with Regulation (EC) 1287/2006, directly applicable since its entry into force on 1 November 2007,…
How to liquidate a SICAV?
What happens when the shareholders of a SICAV decide to get rid of it and liquidate it? Let's look at this process.
Directive (EU) 2019/1160: Cross-border distribution of Collective Investment Undertakings
The EU Directive 2019/1160 was born with the sole objective of eradicating the barriers to cross-border distribution of the RECs. Regulation (EU) 2019/1156, which develops the Directive, has the same…
Types of Investment Funds
Investment funds are a type of collective investment schemes (CIS). They are configured as assets, without legal personality, belonging to a plurality of investors. The objective of the CIS is…
The service of reception and transmission of stock exchange orders (RTO)
The service of reception and transmission of stock exchange orders (RTO)? It is the process whereby the Investment Firm receives the order (of buying or selling) and it transmit that…
