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Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Review of Waiver and Rebate Systems and ESMA Publishes Draft Guidelines on MiFIR and MiFID II Market Data Obligations

November 13, 2020

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To read the Digest online, click here.

This week's issue addresses the following topics:

  • FINRA Conducts Review of Waiver and Rebate Systems and Procedures with Respect to Mutual Fund ROR Purchases
  • CFTC Issues Order of Registration to ICE Futures Abu Dhabi Limited to Permit Trading by Direct Access from the United States
  • OCC Issues Semiannual Risk Perspective
  • FCA Creates Webpage on Brexit From EEA Regulators
  • HM Treasury Announced Equivalence Decisions for EEA and EU Member States
  • ESMA Publishes Draft Guidelines on MiFIR and MiFID II Market Data Obligations
  • ESMA Updates Annex to Opinion Determining Third-Country Trading Venues Under MiFIR
  • ESMA Published Decision on MiFIR Assessments of Third-Country Trading Venues

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