Browsing by Author "Supervision of Markets and Conduct of Business"

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  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2015)
    Financial Supervisory Authority. Market newsletter 4/2014
    Topical matters at ESMA 1 Market participants engaging in derivatives trading and the obligations of EMIR 2 Regulation on credit rating agencies also imposes obligations on issuers 4 Events for listed companies 2014 4
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2014)
    Financial Supervisory Authority. Market newsletter 3/2014
    Topical matters at ESMA 1 Impact on practices of listed companies from supervisory visits inspecting compliance with disclosure obligation 2 Events for listed companies 5 FIN-FSA interest group survey results published 5
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2015)
    Financial Supervisory Authority. Market newsletter 1/2015
    Topical matters at ESMA 1 Key changes in the Market Abuse Regulation 2 Statistical information on prospectuses from 2013 and 2014 5 FIN-FSA Conference 2015 6
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2016)
    Financial Supervisory Authority. Market newsletter 1/2016
    Topical matters at ESMA 1 Changes in the message categories of the Officially Appointed Mechanism 1 Procedures relating to the notification of managers’ transactions 2
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2017)
    Financial Supervisory Authority. Market newsletter 1/2017
    Topical matters at ESMA 1 Models for notifying managers’ transactions 1 On the emergence of inside information and establishment of insider lists 2 Regulation on revenue recognition of listed companies will change in 2018 – investors expect information on the changes 3
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2018)
    Financial Supervisory Authority. Market newsletter 1 (March 2008)
    Preliminary information or profit warning? ESMA Q&A interpretation of the obligation to prevent and detect market abuse – also extends in certain situations to non-financial firms Financial Supervisory Authority has published a video on IFRS enforcement
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2015)
    Financial Supervisory Authority. Market newsletter 2/2015
    Topical matters at ESMA 1 Changes to the periodic disclosure obligation and availability of information – Entry into force on 26 November 2015 2 Significant changes in the obligation to notify of changes in major shareholdings as from 26 November 2015 5 Networking of national OAMs 8 Commission action plan on the capital markets union 8 The definition of persons closely associated with persons discharging managerial responsibilities 9 ESMA Guidelines on performance measures for financial reporting by listed companies 10 Events for listed companies 11 Follow the Financial Supervisory Authority on Twitter 11
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2016)
    Financial Supervisory Authority. Market newsletter 2/2016
    Topical matters at ESMA 1 Market Abuse Regulation also applies to the issuer of a listed bond 1 Information on regulation relating to MAR and on notification of transactions by entities in which managers exercise influence 3 MAR website is now open 4 How the new delegated regulation will change the prospectus approval process in practice 5 All working capital needs must be considered in issuing the working capital statement in equity prospectuses 6
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2017)
    Financial Supervisory Authority. Market newsletter 2/2017
    ESMA clarified definition of managers’ closely associated entities 1 Three prospectus exemptions under the new Prospectus Regulation to be applied as of 20 July 2017 2
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2018)
    Financial Supervisory Authority. Market newsletter 2/2018
    Study by ESMA on the impact of short positions on investor behaviour 1 Basic information on Benchmark Regulation on the FIN-FSA website 2
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2016)
    Financial Supervisory Authority. Market newsletter 3/2015
    Topical matters at ESMA 1 Market manipulation – what it includes 2 Procedures relating to application of the Market Abuse Regulation 3 Forthcoming changes to prospectus regulations regarding securities offerings and listings 4 Examples of the notification of major shareholdings posted on the FIN-FSA website 5 Disclosure and notification of the choice of home Member State for the periodic disclosure obligation 6 Events for listed companies in 2015 7 Follow the Financial Supervisory Authority on Twitter 7
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2016)
    Financial Supervisory Authority. Market newsletter 3/2016
    Topical matters at ESMA 1 Issuers need LEI code for notification of managers’ transactions 2 Contacting FIN-FSA on MAR issues 2 Change to definition of a manager’s closely associated entities 3 New procedures on market sounding enter into force on 3 July 2016 4 Market Abuse Regulation changes disclosure process 7 ESMA guidelines on Alternative Performance Measures enter into force on 3 July 2016 8
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2017)
    Financial Supervisory Authority. Market newsletter 3
    Topical matters at ESMA 1 Requirement to use LEI code is extended 1 Events for listed companies 3
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2018)
    Financial Supervisory Authority. Market newsletter 3/2018
    November 2018
    •Erkki Liikanen appointed Chair of the IFRS Foundation Trustees: better transparency enhances the functioning of capital markets 1 •Financial Supervisory Authority’s new policies relating to review of equity prospectuses in connection with initial public offerings 3 •Observations on delaying the disclosure of inside information – issuers are well aware of their reporting obligations 4 •Manipulative characteristics might be associated with trading in small buy and sell orders 7 •Topical matters at ESMA 8 •Events for listed companies 8 •ESEF seminar 26 November 2018 9
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2016)
    Financial Supervisory Authority. Market newsletter 4/2016
    Topical matters at ESMA 1 Market Supervision introduces electronic newsletter for swift communication of current issues 2 Supervisory findings regarding the application of the Market Abuse Regulation 2 Market sounding procedures 4 Use of Twitter and other social media in the marketing of share issues 6 Big differences in prospectus approval times – FIN-FSA’s processing times 7 Events for listed companies 10
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2017)
    Financial Supervisory Authority. Market newsletter 4/2017
    Topical matters at ESMA MiFID II ancillary provisions of the Market Abuse Regulation (MAR) will apply from 3 January 2018 ESMA updates Q&A interpretations on MAR MiFIR transaction reporting begins on 3 January 2018 Room for improvement in disclosure of alternative performance measures Events for listed companies
  • Financial Supervisory Authority; FIN-FSA; Supervision of Markets and Conduct of Business (2019)
    Financial Supervisory Authority. Market newsletter 4/2018
    Financial reporting stakeholders in breakfast meeting discussion..1 Questionnaire for audit committees of public-interest entities..3 Disclosure of interests and conflicts of interest concerning investment recommendations..6 Prospectus thresholds rise on 1 January 2019 − prospectus must be prepared for offers over EUR 8 million..9 Events for listed companies 2018..10
  • Financial Supervisory Authority; Supervision of Markets and Conduct of Business (2017)
    Financial Supervisory Authority. Market newsletter 5/2016
    Electronic newsletter for communication of current MiFID II and MiFIR issues 1 Guidelines on persons receiving market soundings enter into force on 10 January 2017 1 Guidelines on delay in the disclosure of inside information enter into force on 20 December 2016 2 Importance of the determination of inside information highlighted due to MAR 2 ESMA portal for regulated information results in changes to release categories 3 Events for listed companies in 2016 5