by David Schwartz J.D. CPA | May 21, 2021 | All, Commentary, Cross-Post, Formal Regulatory Remedies
Environmental, social, and governance (ESG) investing has taken global financial markets by storm over the last few years. Post-pandemic, the demand for ESG investments has only intensified and has proven to be much more durable than a fad. However, lack of...
by David Schwartz J.D. CPA | Feb 19, 2021 | All, Commentary
Bankers Seek Common Ground with Politicians Accountability in voting is in the news, and nowhere more so than on Wall Street. Through their U.S. credit policy association and its Asian counterpart, Bankers have responded to suspicion among critics that problems abound...
by David Schwartz J.D. CPA, Ed Blount | Sep 29, 2020 | All, Commentary, Cross-Post
European commissioners are reviewing a study from their securities and market authority (ESMA) that includes a recommendation for new laws to combat unfair trading practices and an extended remit for National Competent Authorities (NCAs) to conduct snap audits of...
by David Schwartz J.D. CPA | Mar 19, 2019 | All, Formal Regulatory Remedies, Procedural Changes
The European Securities and Markets Authority (ESMA) has published the findings of its preliminary study of multiple withholding tax (WHT) reclaim schemes. ESMA conducted this preliminary study at the request European Parliament (EP) and has launched another more...
by David Schwartz J.D. CPA | Mar 30, 2017 | All, Disclosure Regimes, Formal Regulatory Remedies
The European Securities and Markets Authority (ESMA)’s report on Trends, Risks, and Vulnerabilities No. 1, 2017 (TRV) is the body’s latest effort to highlight areas of risk facing European financial markets. Noting that financial markets remained relatively calm since...
