News & Analysis as of September 26, 2024

European Union › Brokers

+ 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 -

EU AI Act: Key Points for Financial Services Businesses

Goodwin on 8/12/2024

The European Union (EU) Artificial Intelligence Act (AI Act), Regulation (EU) 2024/1689 of the European Parliament and of the Council of 13 June 2024 laying down harmonised rules on artificial intelligence and amending...more

Sector trends - September 2023: Brokers/Corporate Finance

White & Case LLP on 9/21/2023

Pan-European banks, including Mediobanca and Deutsche Bank, seek senior dealmaker bench strength through high profile acquisitions....more

European Commissioner Announces Proposed Extension of Equivalence for UK CCPs

A&O Shearman on 12/16/2021

European Commissioner McGuinness has announced that in early 2022 the European Commission will be proposing an extension of the time-limited equivalence granted to U.K. CCPs...more

Financial institutions M&A: Brokers/Corporate Finance

White & Case LLP on 9/27/2021

Financial institutions M&A sector trends: brokers/corporate finance — H1 2021 and outlook for H2 2021 - Financial advisers turn to M&A to deliver additional bandwidth, capability and resources to ride the post-lockdown M&A...more

ESMA Statement Warns on Payment for Order Flow

Latham & Watkins LLP on 7/16/2021

New ESMA guidance less strict than the established UK position on PFOF. On 13 July 2021, ESMA published a statement on payment for order flow (PFOF), the practice of brokers receiving payments from third parties for...more

Financial Daily Dose 10.18.2019 | Top Story: Unpacking the UK/EU Brexit Deal and Its Rocky Road Ahead in Parliament

Robins Kaplan LLP on 10/18/2019

Details are trickling in on the tentative Brexit agreement reached between UK and EU negotiators this week, just 14 days ahead of the Halloween departure deadline. A massive sticking point here remains the British...more

Financial Institutions M&A: Sector trends - June 2019: Brokers/Trading service providers

White & Case LLP on 7/17/2019

Financial institutions M&A sector trends: brokers/trading service providers — H1 2019 and outlook for H2 2019. CURRENT MARKET - Consistent, high activity levels...more

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

Dechert LLP on 12/8/2018

German Federal Ministry for Economic Affairs and Energy publishes draft bill implementing MiFID II requirements for investment brokers and advisers regulated under the German Industrial Code - The German Federal Ministry...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 6/11/2015

SEC Provides Additional Analysis Related to Proposed Pay Ratio Disclosure Rules - On June 4, the Securities and Exchange Commission provided additional analysis related to its proposed rules for pay ratio disclosure. The...more

Orrick's Financial Industry Week in Review - March 24, 2014

Orrick, Herrington & Sutcliffe LLP on 3/25/2014

FINRA Proposes Lighter Regulatory Regime For Limited Corporate Financing Brokers - The Financial Industry Regulatory Authority (FINRA) recently issued a Regulatory Notice requesting comment on a Proposed Rule Set for...more

Monitoring Your Own Behaviour – Guidance for Insurers on the Use of Telematics

Morrison & Foerster LLP on 6/24/2013

As businesses across the economic spectrum seek to develop personalized pricing strategies, the insurance sector continues to lead the way with renewed impetus behind telematics-based insurance offerings. As...more

Keep it simple - Supervisors have taken an increasing interest in structured products recently. But regulating complexity isn’t...

Morrison & Foerster LLP - Structured Products on 2/5/2013

Originally published in International Financial Law Review on February 5th, 2013. Structured products have come under considerably greater regulatory scrutiny in recent years. In the US, regulators have become...more

12 Results

View per page

Page: of 1

European Union › Brokers

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