News & Analysis as of October 16, 2024

Cryptoassets

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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 - December 2023

Proskauer Rose LLP on 1/4/2024

Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. Key developments in December 2023: 21 December - UK / Swiss Regulatory...more

European Securities and Markets Authority Issues Call for Evidence on Product Intervention Measures

A&O Shearman on 10/10/2019

The European Securities and Markets Authority has issued a call for evidence on the impact of its product intervention powers prohibiting the marketing, distribution and sale of binary options to retail clients and imposing...more

Latest UK Developments on the Regulation of Cryptoassets

Latham & Watkins LLP on 8/2/2019

FCA finalises guidance on cryptoassets and consults on product intervention measures. FCA guidance on the regulation of cryptoassets - As previously reported in this blog, the FCA consulted on guidance on cryptoassets...more

Basel Committee on Banking Supervision Discusses Supervisory Initiatives and Approves Implementation Reports

A&O Shearman on 7/5/2019

Central bankers and banking supervisors of the Basel Committee on Banking Supervision met this week to discuss a range of policy and supervisory initiatives. ...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

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

Corporate & Financial Weekly Digest, Featuring Articles on FINRA and the FCA Offering Guidance on Cryptocurrencies

Katten Muchin Rosenman LLP on 1/28/2019

BROKER-DEALER - FINRA Releases 2019 Annual Risk Monitoring and Examination Priorities Letter - On January 22, the Financial Industry Regulatory Authority (FINRA) issued its annual Risk Monitoring and Examination...more

Corporate & Financial Weekly Digest, Featuring Articles on NFA Compliance Updates for CPOs and Swaps, and Brexit and No-Deal...

Katten Muchin Rosenman LLP on 12/17/2018

BROKER-DEALER - FINRA Issues Report on Examination Findings - This month, the Financial Industry Regulatory Authority (FINRA) issued a report summarizing various findings from recent examinations of its member firms...more

Corporate & Financial Weekly Digest, Featuring Articles on Swaps, CFTC Initial Margin Phase 5, Brexit, and EU Obligations of...

Katten Muchin Rosenman LLP on 11/5/2018

DERIVATIVES - SEC Issues Statement on Swap Business Conduct Rules - On October 31, the Securities and Exchange Commission took an unusual additional step towards implementing its rules for security-based swaps (SBS) by...more

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