News & Analysis as of September 18, 2024

MiFID II

+ Follow

The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

Regulation Round Up - May 2024

Proskauer Rose LLP on 6/12/2024

Key developments in May 2024: ESG: The Financial Conduct Authority (“FCA”) updated its webpage on the sustainability disclosure requirements (“SDR”) and investments labelling regime. Among other things, the webpage has been...more

Regulation Round Up - February 2024

Proskauer Rose LLP on 3/5/2024

Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more

Upcoming Regulatory Initiatives Impacting Private Fund Managers - September 2022

Dechert LLP on 9/22/2022

This latest edition of the regulatory initiatives paper sets out at a high level the core regulatory issues that are likely to impact private fund managers in the coming months, including an overview of the key actions needed...more

Regulatory Monitoring - relevant developments regarding German and European regulatory law (UPDATED)

A&O Shearman on 8/3/2021

Our monthly regulatory newsletter monitors all relevant developments regarding German and European regulatory law in English language. ...more

Key Regulatory Topics: Weekly Update April 2021

A&O Shearman on 4/14/2021

This week’s update includes, among other key items, the FSB’s report on its evaluation of the effects of too-big-to-fail reforms for systemically important banks. This report, alongside the FSB’s report on Covid-19 support...more

The implementation of the Fifth Anti Money Laundering Directive in German Law – Tighten the tight?

Orrick, Herrington & Sutcliffe LLP on 12/6/2019

In the course of the “Panama Paper” scandal, Directive (EU) 2015/849 on the prevention of the use of the financial system for the purposes of money laundering or terrorist financing – known as 4. Anti-Money Laundering...more

Private Bank Briefing: Issues Impacting the Private Bank Sector - September 2019

Latham & Watkins LLP on 9/10/2019

On 23 July 2019, the FCA published a Dear CEO letter on its wealth management and stockbroking supervision strategy, which began in April 2019. The strategy includes work to identify, diagnose, and remedy the harm that wealth...more

Key Regulatory Topics: Weekly Update 5 July 2019 – 11 July 2019

A&O Shearman on 7/18/2019

BREXIT - ECB updates FAQs on relocating to the euro area in the context of Brexit - On 5 July, the ECB updated its FAQs on the procedures for the relocation of banks to the euro area in the context of Brexit. The new...more

10 Key Regulatory Focus Areas for UK/European Wholesale Markets in 2019 – Progress Report

Latham & Watkins LLP on 7/2/2019

These topics are attracting particular attention because they are either at a key stage in the regulatory change or implementation cycle, or because uncertainty and inconsistency in their recent implementation means that they...more

Financial Regulatory Observer – June 2019: EU Banking reforms imminent

White & Case LLP on 6/28/2019

The Banking Reform Package marks a milestone in the new EU regulatory landscape. On 27 June 2019, a series of measures referred to as the Banking Reform Package comes into force, subject to various transitional and staged...more

Key Regulatory Topics: Weekly Update 14 June 2019 to 20 June 2019

A&O Shearman on 6/26/2019

CONDUCT - FMSB statement of good practice on conflicts of interest - On 20 June, the FICC Markets Standards Board (FMSB) published a consultation on a statement of good practice on conflicts of interest....more

FS Regulators’ Business Plans: Infographic Timeline and Summary

BCLP on 4/24/2019

Click here for an infographic timeline summarising the FCA, PRA and PSR business plans for 2019/20, together with key EU and UK financial services developments. The Financial Conduct Authority published its business plan on...more

Financial Regulatory Observer – March 2019: FRO in-depth: The future of cryptoassets regulation

White & Case LLP on 4/1/2019

Partners Julia Smithers Excell and Stuart Willey, and associate Laura Kitchen of global law firm White & Case take a deep dive on the latest publications from EU and UK regulators aimed at providing supervisory clarity on the...more

Key Regulatory Topics: Weekly Update 8 March - 14 March 2019

A&O Shearman on 3/20/2019

BREXIT - On 7 February, ordinance no. 2019-75 relating to the preparatory measures in connection with the United-Kingdom’s withdrawal from the European Union in respect of financial services (the Ordinance) was published. ...more

Spring Funds First Update

BCLP on 2/28/2019

Welcome to our Funds First Update. Whilst a lot of focus at present is on Brexit and the uncertainties surrounding that process, there have been a great many other developments in the past few months that are of relevance to...more

ESMA Examines EU Regulatory Framework for Crypto Assets and ICOs

Jones Day on 2/22/2019

The Situation: On January 9, 2019, the European Securities and Markets Authority ("ESMA") issued advice to the EU Commission, Council, and Parliament on initial coin offerings ("ICOs") and crypto assets. The Result: ESMA...more

Investment Funds Update – Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 2/12/2019

MiFID II – updated Q&As on MiFID II and MiFIR transparency topics and obligations on disclosure of information to clients in the context of Brexit - ESMA updated its Q&As on 4 January on MiFID II and MiFIR transparency...more

ESMA and EBA Assess Whether Crypto-Assets Are Regulated Under Existing EU Rules and Advise the European Commission to Consider an...

Kramer Levin Naftalis & Frankel LLP on 1/24/2019

On Jan. 9, 2019, both the European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) published a report on crypto-assets....more

Cryptoassets and ICOs: EU Regulators Show Their Hand

White & Case LLP on 1/15/2019

On 9 January 2019, the European Banking Authority (EBA)1 and the European Securities and Markets Authority (ESMA)2 published two reports with their advice on cryptoassets for the European Commission (EC) (and in ESMA's case,...more

Investment Funds Update Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 7/12/2018

MIFID II – end of “no LEI” exemption for transaction reporting; ESMA takes stock of MiFID II achievements - ESMA confirmed on 20 June that the current exemption from using Legal Entity Identifiers for certain transactions...more

Investment Funds Update Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 6/7/2018

Irish Revenue Guidance on Section 110 - The Irish Revenue Commissioners (“Revenue”) issued a new Tax and Duty Manual (the “Tax Manual”) on 24 May 2018, setting out the position to deal with some of the uncertainties around...more

Investment Funds Update Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 6/6/2018

European Commission Publishes Legislative Proposals on Sustainable Finance Which Impacts Asset Managers - The EU Commission presented a package of measures on 24 May 2018, as a follow-up to its action plan on financing...more

Allen and Overy's weekly update on Key Regulatory Topics - 18 May 2018 – 24 May 2018

A&O Shearman on 5/29/2018

BREXIT - EIOPA publishes opinion on the solvency position of insurers and reinsurers post Brexit. On 18 May, EIOPA published an opinion on the solvency position of insurance and reinsurance undertakings in light of the...more

Allen & Overy's weekly update on Key Regulatory Topics - 27 April 2018 – 3 May 2018

A&O Shearman on 5/9/2018

BREXIT - ECB speech considers impact of Brexit on ECB banking supervision - On 2 May, the ECB published a speech by Ignazio Angeloni, ECB Supervisory Board member, in which he considers the future of ECB banking...more

Investment Funds Update Europe - Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 5/7/2018

Proposals to make French funds more attractive for international marketing - A working group set up by Euroclear France, Ailancy, professional associations and different actors of the asset management industry, presented...more

34 Results

View per page

Page: of 2

European Union › Anti-Money Laundering › MiFID II

"My best business intelligence, in one easy email…"