Secondary Markets Expert Group – November 2017

Venue: Charles Russell Speechlys, 5 Fleet Place, London, EC4M 7RD (Host: Andrew Collins)

Agenda – 15.11.17

Minutes – 06.09.17

Policy Briefing – 17.10.17

Website links – issues for discussion:

ESMA Q&As on investor protection topics

ESMA Q&As on post-trading issues

ESMA Guidelines on transaction reporting, order keeping and clock synchronisation

European Commission FAQs on obtaining brokerage and research services from non-EU brokers

The US Securities and Exchange Commission no-action letters to facilitate cross-border implementation of MiFID II's research provisions

Website links – communications:

Policy Statement PS17/23 – Reforming the availability of the information in the UK equity IPO process

Policy Statement PS17/22 – Enhancements to the Listing Regime

Feedback Statement FS17/3 – The UK Primary Markets Landscape

QCA Response to AIM Rules Review