News & Analysis as of September 17, 2024

IOSCO

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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 -

ELTIF 2.0 RTS: ESMA adopts a conservative approach toward open-ended ELTIFs

Dechert LLP on 1/12/2024

ESMA has submitted its proposals for RTS supplementing ELTIF 2.0 to the European Commission - The RTS detail stringent conditions on liquidity and redemption provisions including in principle maximum quarterly redemption...more

EU Consults on Plans for a New Regulatory Regime for ESG Ratings Providers

Latham & Watkins LLP on 6/16/2023

An evolving landscape of reforms in the ESG ratings sector continues to pose challenges to providers of ratings and scores. International momentum to regulate ESG ratings continues as the European Commission released a...more

Operational resilience in the UK, EU and US: A comparison

White & Case LLP on 12/5/2022

With a new operational resilience framework in force in the UK and similar reforms proposed in the EU and the US, we examine how the regimes compare and their practical impact on financial services firms....more

Irish Quarterly Legal and Regulatory Report - Asset Management and Investment Funds July to September 2022

Walkers on 10/17/2022

1.1 ESMA UCITS Q&A updates On 20 July 2022, ESMA published an updated version of its UCITS Q&As with the following new Q&As: Section X: Depository – new Q&As 7 and 8 on reconciliations; and - • Section XIII: Delegation...more

Brussels Regulatory Brief: March 2021

K&L Gates LLP on 3/31/2021

ANTITRUST AND COMPETITION - The European Commission Opens a New Investigation in the Pharma Sector - On 4 March 2021, the European Commission (Commission) has opened a formal investigation into alleged misuses of patent...more

Regulation Round Up - January 2021

Proskauer Rose LLP on 2/8/2021

29 January - The Joint Committee of the European Supervisory Authorities (“ESAs”) (that is, the EBA, EIOPA and ESMA) published two consultation papers on the mapping of external credit assessment institutions' (“ECAIs”)...more

Brussels Regulatory Brief: January 2021

K&L Gates LLP on 2/4/2021

ANTITRUST AND COMPETITION - The European Commission Consults on New EU Competition Rules for Distribution Agreements - The Vertical Block Exemption Regulation (VBER) and its accompanying Vertical Guidelines (VGL) are designed...more

Regulation Round Up - June 2020

Proskauer Rose LLP on 7/6/2020

30 June - The Financial Conduct Authority (“FCA”) announced that the deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons will be delayed from 9...more

Brussels Regulatory Brief: January 2020

K&L Gates LLP on 1/21/2020

ANTITRUST AND COMPETITION - EU Competition Commissioner Vestager Will Also Be Responsible For Coordinating The EU Digital Agenda - Last month, Margrethe Vestager was confirmed as Competition Commissioner for the next five...more

Corporate and Financial Weekly Digest, Featuring Articles on the Latest CFTC Proposals for Swap Margins, Non-US Clearing...

Katten Muchin Rosenman LLP on 7/29/2019

BROKER-DEALER - CBOE Proposes Amendments to Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers - CBOE Exchange, Inc. (CBOE) recently filed a proposal to amend its Rule 6.49A to amend provisions...more

Governance & Securities Law Focus: Asia Edition, June 2019

A&O Shearman on 6/24/2019

U.S. DEVELOPMENTS - SEC and NYSE/Nasdaq Developments - SEC Proposes to Expand “Testing the Waters” Exemption to Permit Pre-Offering Communications - On 19 February 2019, the Securities and Exchange Commission...more

Brussels Regulatory Brief: November 2018

K&L Gates LLP on 12/3/2018

Antitrust and Competition - European Commission consulting on a new set of commitments in pay-TV investigation - On 9 November 2018, the European Commission announced it was seeking comments on commitments proposed by a film...more

Brussels Regulatory Brief: June 2018

K&L Gates LLP on 6/5/2018

Antitrust and Competition - Gun jumping attracts increased scrutiny by the European Commission - The European Commission continues its scrutiny against breaches of the procedural obligations in the framework of the EU merger...more

Corporate & Financial Weekly Digest, Featuring Topics on Broker/Dealer and UK/EU Developments

Katten Muchin Rosenman LLP on 4/16/2018

BROKER-DEALER - Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits - The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to...more

Regulation Round Up - February 2018

Proskauer Rose LLP on 3/9/2018

1 February - The European Commission ("EC") launched the EU Blockchain Observatory and Forum in order to highlight key developments of blockchain technology, promote and reinforce European engagement with multiple...more

Key Regulatory Topics: Weekly Update - 17 November 2017 – 23 November 2017

A&O Shearman on 11/27/2017

BREXIT - EBA relocation to Paris - On 21 November, the Council of the EU published a press release announcing that the ministers of EU member states other than the UK have selected Paris as the new location of the EBA....more

Key Regulatory Topics: Weekly Update - 30 June 2017 – 6 July 2017

A&O Shearman on 7/11/2017

CAPITAL MARKETS AND MARKET INFRASTRUCTURE - See Recovery and Resolution section for an update on CCP recovery and resolution. FCA makes available draft forms for benchmark administrators - On 6 July, as part of their...more

ESAs and IOSCO Publish Statements on Variation of Margin Exchange under EMIR

Orrick - Finance 20/20 on 3/2/2017

On February 23, 2017, the Joint Committee of European Supervisory Authorities (“ESAs“) published a statement on variation margin exchange under the EMIR regulatory technical standards (“RTS“) on risk mitigation techniques for...more

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

Dechert LLP on 12/1/2016

ALFI Response to IOSCO Consultation Report on Good Practices for the Termination of Investment Funds - ALFI responded to the IOSCO Consultation Report on Good Practices for the Termination of Investment Funds which...more

Setting the New Benchmark: EU Regulation on Financial Benchmarks

Morrison & Foerster LLP on 6/14/2016

Background - The integrity of benchmarks used in financial transactions has been the subject of increasing focus from regulators since the investigations into manipulation of the setting of LIBOR, EURIBOR and other...more

Final European Standards for Derivatives Collateralisation

Morrison & Foerster LLP on 3/18/2016

On 8 March 2016, the three European Supervisory Authorities (ESAs) published their final draft regulatory technical standards in relation to the collateralisation of non-centrally cleared derivatives. The standards are to...more

Dodd-Frank Turns Five, What Comes Next?

K&L Gates LLP on 8/19/2015

The 2008 credit crisis was the beginning of an era of unprecedented government management of the capital markets. July 21, 2015 marked the fifth anniversary of the hallmark congressional response, the Dodd-Frank Wall Street...more

Financial Services Quarterly Report - Fourth Quarter 2013: Leveling the Playing Field: Recent Developments in Benchmarks...

Dechert LLP on 12/24/2013

The individuals and entities responsible for setting financial market reference rates or, more broadly, financial benchmarks, have not historically been subject to extensive regulation. Recent misconduct by banks with regard...more

Avoiding Armageddon: Resolution Regimes for Central Clearing Counterparties

Morrison & Foerster LLP on 2/5/2013

The September 2009 resolutions of the G20 nations at their Pittsburgh summit, as to the compulsory centralised clearing of standardised over-the-counter (OTC) derivatives, paved the way for the creation of some of the biggest...more

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