News & Analysis as of September 18, 2024

Securities Regulation

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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 -

Investment Research

Mayer Brown Free Writings + Perspectives on 6/20/2024

During his remarks at a meeting of the International Bar Association’s Asset Management Industry Conference on Global Challenges and Opportunities in Boston, Commissioner Uyeda commented on investment research and the...more

UK Draft Short Selling Regulations Published

A&O Shearman on 12/1/2023

The U.K. government has published a draft version of the Short Selling Regulations 2024. The draft SSR 2024 will replace the existing U.K. Short Selling Regulation, which was onshored from the EU and which is being repealed...more

The wait is over as reporting to a UK securitisation repository commences and UK templates are published

Hogan Lovells on 1/25/2022

On 17 January 2022, European DataWarehouse Ltd and SecRep Limited were approved by the Financial Conduct Authority (FCA) as the first securitisation repositories (UK SRs) in the United Kingdom. Originators, sponsors and...more

EU Amending Technical Standards Improve PRIIPs Regulation Requirements

A&O Shearman on 1/18/2022

An EU Commission Delegated Regulation (2021/2268) amending the Regulatory Technical Standards supplementing the EU Packaged Retail Investment and Insurance-based Products Regulation has been published in the Official Journal...more

Global Standard–Setter Publishes Revised Outsourcing Principles

Morgan Lewis - Tech & Sourcing on 11/19/2021

The Board of the International Organization of Securities Commissions (IOSCO) has published a set of revised outsourcing principles for regulated entities. IOSCO is an international policy forum for securities regulators and...more

Securities and markets regulatory news, March 2021 # 4

Hogan Lovells on 3/23/2021

Regulation of UK wholesale financial markets: FCA speech - The Financial Conduct Authority (FCA) has published a speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy, on a forward look at regulation of...more

Securities and markets regulatory news, March 2021 # 3

Hogan Lovells on 3/15/2021

UK Emissions Trading Scheme: Revised draft Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 - A revised draft version of the Recognised Auction Platforms (Amendment and Miscellaneous...more

Securities and markets regulatory news, November 2020

Hogan Lovells on 11/10/2020

ISDA 2020 IBOR Fallbacks Protocol - The International Swaps and Derivatives Association, Inc. (ISDA) has published the ISDA 2020 IBOR Fallbacks Protocol. Our separate client alert, ISDA 2020 IBOR Fallbacks Protocol: What...more

Securities and markets regulatory news, June 2020 #3

Hogan Lovells on 6/24/2020

Marketing speculative illiquid securities to retail investors: FCA CP20/8 - The UK Financial Conduct Authority (FCA) has published a consultation paper, CP20/8, "High-risk investments: Marketing speculative illiquid...more

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