Capital markets and regulations
A selected range of capital market regulatory matters: analyses, legal opinions and drafts of internal regulations, with particular focus on MAR and inside information duties. The scope of services does not include entities conducting investment firm or bank activity.
Please note. I do not provide services to entities conducting the business of an investment firm or a bank.
Selected capital market regulations
Analyses of regulatory obligations and internal documents in selected areas.
- regulatory analyses and legal opinions
- drafts of internal procedures and regulations
- regulations: MAR, MiFID II, MiFIR, EMIR, PRIIPs, UCITS, AIFMD, AML, GDPR, PSD2, SFDR
MAR and inside information
Issuer duties around inside information, from identification to documentation.
- assessment of whether information may constitute inside information
- disclosure obligations and delayed publication
- insider lists and MAR documentation
Typical situations
- a regulator or auditor asks about procedures nobody has opened in years
- there is doubt whether a piece of information is already inside information (MAR)
- a new product or service needs a regulatory assessment before launch
- internal regulations have drifted from practice and need updating
- the team needs a clear list of duties arising from the rules