News & Analysis as of October 19, 2024

Financial Institutions

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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 -

The Informed Board - Summer 2024

Skadden, Arps, Slate, Meagher & Flom LLP on 9/10/2024

Across industries, companies are facing new and uncertain regulatory pressures and demands in areas including artificial intelligence, sustainability, algorithmic pricing and fintech-bank relations. In this issue of The...more

[Event] 2nd Forum on Digital Assets Compliance: AML, Sanctions and Regulatory Oversight - October 17th - 18th, New York, NY

American Conference Institute (ACI) on 9/25/2023

With so many new, emerging risks coming to the forefront, ACI is excited to announce our Digital Assets Compliance: AML, Sanctions and Regulatory Oversight. Unlike other conferences, this highly anticipated event stands apart...more

A designation challenge fails and two enforcement actions are announced: the UK’s Russia sanctions in motion

A&O Shearman on 9/8/2023

Three decisions in recent weeks have demonstrated the breadth of the UK Government’s sanctions-related powers and underline a push by the UK to demonstrate the robustness of its sanctions and a focus on their enforcement....more

Insights – June 2023

Skadden, Arps, Slate, Meagher & Flom LLP on 6/27/2023

This edition of Skadden’s quarterly Insights looks at the latest trends in shareholder activism, the scrutiny companies are facing over their ESG disclosures and employment considerations for using AI in the workplace, among...more

[Event] European Forum on Global Economic Sanctions - June 1st - 2nd, Berlin, Germany

American Conference Institute (ACI) on 5/1/2023

Hosted by C5 Group, the European Forum on Global Economic Sanctions is recognized as Europe's Premier, longstanding gathering for financial institutions and global exporters. The industry across Europe is confronting an...more

Banking Bites - May 2022 #2

BCLP on 5/31/2022

Privy Council rules against extension of the Quincecare duty - Does a bank owe a duty of care to a person who is the beneficial owner of funds held in the account of a customer of the bank and who has been defrauded by...more

Q2 2021: Latin America Enforcement Review

King & Spalding on 8/9/2021

This summary is part of our regular reporting of trends and developments related to investigations and enforcement activity into fraud, corruption, and other misconduct by authorities in the United States and the Americas and...more

Spanish DPA shakes the privacy status quo in Spain – highest fines yet on personal data

Hogan Lovells on 3/11/2021

The Spanish Data Protection Agency (“Spanish DPA”) decided to start 2021 the same way it ended 2020: by imposing the highest fines to date (EUR 5,000,000 and 6,000,000) to two large Spanish financial entities. ...more

EU Technical Standards Supplementing the Securitization Regulation

A&O Shearman on 9/29/2020

Several EU Technical Standards supplementing the EU Securitization Regulation have been published in the Official Journal of the European Union. The Securitization Regulation has applied directly across the EU since January...more

[Virtual Event] Flagship Conference on Economic Sanctions Enforcement and Compliance - July 29th - 30th, 8:00 am - 5:00 pm EDT

American Conference Institute (ACI) on 5/5/2020

The ACI’s 13th Advanced Flagship Conference on Economic Sanctions Enforcement and Compliance is going virtual and will be held on July 29-30, 2020. From the comfort of your home office, virtually attend the industry’s...more

Corporate Governance And Securities Law Update: Latin America Edition

A&O Shearman on 9/23/2019

Below is a summary of the main developments in US and EU corporate governance and securities law and certain financial markets regulation developments since our last update in April 2019. ...more

The EU’s Efforts to Combat Money Laundering, the Financing of Terrorism and Corruption Seem to Overlook a Very American Approach:...

Ballard Spahr LLP on 9/18/2019

The European Union (“EU”) recently has grappled with a series of massive money laundering scandals and strategized about how to more effectively combat international money laundering and corruption. Generally, the EU has...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

Readiness for PSD2: APIs Fall Short, but More Time for SCA

Latham & Watkins LLP on 8/25/2019

While the payments industry scrambles to meet new standards for APIs, the FCA grants an extension for SCA compliance. In an effort to evaluate the readiness of banks to comply with the revised EU Payment Services Directive...more

Brussels Regulatory Brief: June 2019

K&L Gates LLP on 6/27/2019

INSTITUTIONAL DEVELOPMENTS - The New European Parliament: More Fragmentation, Ad Hoc Coalitions, And Greener Policies? The results of the May 2019 European Parliament (“EP”) elections resulted in a more complex European...more

A Delicate Balance

BCLP on 4/8/2019

How should we approach competing sanctions risks? Among the numerous regulatory compliance risks faced by financial institutions, economic and trade sanctions risks commonly receive a great deal of attention....more

Financial Regulatory Developments Focus - November 2018 #4

A&O Shearman on 11/26/2018

In this week’s newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Sanctions Round Up: Third Quarter 2018

A&O Shearman on 10/17/2018

Russia remained at the forefront this quarter, as the Trump Administration imposed new measures and markets reacted to the threat of additional, “crushing” sanctions from Congress on Russian sovereign debt. Meanwhile, EU...more

Your Daily Dose of Financial News

Robins Kaplan LLP on 9/20/2018

“Pot is the new crypto,” declares Bloomberg, and if you’ve seen how the virtual currencies are faring these days, that should be a warning and not a selling point....more

Recent Nordic Scandals Involving ING Bank and Danske Bank Underscore the European Union’s Vulnerabilities to Money Laundering

Ballard Spahr LLP on 9/7/2018

In the wake of this week’s revelations of years-long and significant alleged money laundering failures involving ING Bank and Danske Bank, European regulators have circulated a confidential “reflection paper” warning national...more

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European Union › Enforcement Actions › Financial Institutions

The Informed Board - Summer 2024

[Event] 2nd Forum on Digital Assets Compliance: AML, Sanctions and Regulatory Oversight - October 17th - 18th, New York, NY

A designation challenge fails and two enforcement actions are announced: the UK’s Russia sanctions in motion

Insights – June 2023

[Event] European Forum on Global Economic Sanctions - June 1st - 2nd, Berlin, Germany

Banking Bites - May 2022 #2

Q2 2021: Latin America Enforcement Review

Spanish DPA shakes the privacy status quo in Spain – highest fines yet on personal data

EU Technical Standards Supplementing the Securitization Regulation

[Virtual Event] Flagship Conference on Economic Sanctions Enforcement and Compliance - July 29th - 30th, 8:00 am - 5:00 pm EDT

Corporate Governance And Securities Law Update: Latin America Edition

The EU’s Efforts to Combat Money Laundering, the Financing of Terrorism and Corruption Seem to Overlook a Very American Approach:...

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

Readiness for PSD2: APIs Fall Short, but More Time for SCA

Brussels Regulatory Brief: June 2019

A Delicate Balance

Financial Regulatory Developments Focus - November 2018 #4

Sanctions Round Up: Third Quarter 2018

Your Daily Dose of Financial News

Recent Nordic Scandals Involving ING Bank and Danske Bank Underscore the European Union’s Vulnerabilities to Money Laundering

ESMA Fines Five Banks for Negligently Issuing Credit Ratings

Global Privacy & Cybersecurity Update Issue 18 | June 2018

Your Daily Dose of Financial News

Government Enforcement Investigations – What You Need to Know in 2018

Funds Talk: March 2017

European Union › Enforcement Actions › Financial Institutions

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