News & Analysis as of September 18, 2024

European Securities and Markets Authority (ESMA)

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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 -

Regulatory monitoring - August 2024

A&O Shearman on 9/4/2024

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) EU - EBA: Opinion on measures in accordance with Article 458 CRR following a notification by the De Nederlandsche Bank - Status: Final - The EBA has...more

Regulatory monitoring - July 2024

A&O Shearman on 8/6/2024

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) International - BCBS: Consultation on report regarding various technical amendments and FAQs - Status: Consultation - Deadline for the submission of...more

Neufassung der AIFM- und UCITS- Richtlinien

McDermott Will & Emery on 2/28/2024

Die überarbeiteten Fassungen der AIFM- und der UCITS-Richtlinie stehen fest und sollen Mitte 2024 in Kraft treten. Die Mitgliedstaaten haben dann zwei Jahre Zeit zur Umsetzung. Änderungen sind insbesondere bei den Themen...more

Verordnung über Märkte für Kryptowerte

McDermott Will & Emery on 3/22/2022

Die EU-Kommission veröffentlichte 2020 ihr Paket zur Digitalisierung des Finanzsektors, das auf den Arbeiten des FinTech-Aktionsplans der Kommission aufbaut und neben weiteren Legislativvorschlägen den Entwurf einer...more

Regulatory Monitoring - relevant developments regarding German and European regulatory law (UPDATED)

A&O Shearman on 10/4/2021

Our monthly regulatory newsletter monitors all relevant developments regarding German and European regulatory law in English language. ...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Releases White Paper on Artificial Intelligence, OCC Promulgates...

Katten Muchin Rosenman LLP on 6/15/2020

BROKER-DEALER - FINRA Revises Problem Codes for Reporting Customer Complaints and for Filing Documents Online - On June 10, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-17, which...more

Short selling bans and market restrictions – Considerations for investors (Updated May 2020)

White & Case LLP on 5/28/2020

A number of regulators across the globe responded to recent market volatility by introducing temporary short selling bans and/or market restrictions. Such bans have since expired as of 18 May 2020. Other regulators (including...more

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

Dechert LLP on 2/6/2019

Law amending Financial Market Laws to Regulation (EU) 2017/2402 and Regulation (EU) No 575/2013 as amended by Regulation (EU) 2017/2401 published in the Federal Law Gazette - The Law amending Financial Market Laws to...more

Update on the Status of Initial Coin Offerings in Europe

White & Case LLP on 2/1/2019

With crypto-currencies on the rise and technological developments providing great opportunities in the financial services sector, Initial Coin Offerings ("ICO") provide an innovative way of raising capital. They are...more

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

Dechert LLP on 11/9/2018

German Federal Ministry of Justice and Consumer Protection published draft bill implementing the Directive (EU) 2017/828 as regards the encouragement of long-term shareholder engagement (“ARUG II”) - The Directive (EU)...more

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

Dechert LLP on 7/6/2018

European banking and securities authorities published guidelines on the assessment of the suitability of members of the management body and key function holders - ESMA and EBA published joint guidelines regarding the...more

Brexit: Much Discussed, Little Understood

Skadden, Arps, Slate, Meagher & Flom LLP on 1/26/2018

Katja Kaulamo (Frankfurt, capital markets): With structural and political change in Europe in 2017, the European capital markets industry was left in a state of uncertainty pending the final outcome of the Brexit...more

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

Dechert LLP on 12/21/2016

BaFin Publishes Circular on Solvency II - Bafin published a revised draft circular on 7 December 2016 addressing Solvency II entities regulated by the BaFin which will enter into force on 1 January 2018. The draft...more

Future Marketing Rules for Non-EU Fund Managers in Germany

Morgan Lewis on 8/3/2016

Germany’s private placement rules for funds will change again. On 19 July, the European Securities and Markets Authority (ESMA) published its advice on applying the Alternative Investment Fund Managers Directive (AIFMD)...more

Financial Services Quarterly Report - Second Quarter 2016: New Legal Framework Regarding Loan Funds in Germany

Dechert LLP on 7/12/2016

BaFin, the German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht) last year eased its administrative practice with respect to loan origination and loan restructuring activities of...more

Germany Tightens Voting Rights Disclosure - New rules increase complexity of voting right disclosures and impose

K&L Gates LLP on 10/16/2015

On October 1, 2015, the German Parliament adopted the national “Act Implementing the EU Transparency Directive Amending Directive (2013/50/EU)” (the “Act”). The aim of the directive is to harmonize the regime for notification...more

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

Dechert LLP on 10/9/2015

Implementation of the European Transparency Directive 2013/50/EU in Germany - All market participants investing in German stocks and other equity shares with voting rights traded on an exchange will be subject to new...more

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

Dechert LLP on 8/11/2015

Finance Ministry Proposes Changes to German Fund Taxation - The draft bill proposed by the Finance Ministry for discussion purposes contains significant changes to the German tax environment regarding funds and...more

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