Jeremy C. Jennings-Mares

Jeremy C. Jennings-Mares

Morrison & Foerster LLP

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Uncertain Seas: European Financial and Regulatory Developments into 2017

Charting New and Dangerous Waters - Lloyd George and Epictetus may be long gone but their words have much resonance with the events of 2016. The political fallout from the UK’s vote to leave the European Union (“EU”)...more

1/17/2017 - AIFMD Banking Reform Basel III BRRD Capital Markets Union Deposit Insurance EEA EMIR EU EU Benchmark Regulation MiFID II MREL Packaged Retail And Insurance-Based Investment Products (PRIIPS) Prospectus Ring-Fencing Shadow Banking TLAC UCITS UK UK Brexit

Structured Thoughts: News for the financial services community - Special Issue

Final TLAC Rules and Structured Products - On December 15, 2016, the Board of Governors of the Federal Reserve System (the “Federal Reserve”) issued its final rules regarding long-term debt and total loss absorbing...more

12/27/2016 - Depository Institutions EU EU Benchmark Regulation Fiduciary Rule FINRA Foreign Banks G-SIB Holding Companies IRS MiFID II Packaged Retail And Insurance-Based Investment Products (PRIIPS) Popular Regulatory Agenda Section 871(m) Structured Financial Products TLAC UK UK Brexit

Structured Thoughts: News for the financial services community, Volume 7, Issue 12

FDIC Adopts New Recordkeeping Requirements for Large Banks – Modifies Original Proposal as to Brokered CDs - In November 2016, the FDIC approved a final rule establishing recordkeeping requirements for insured...more

12/13/2016 - Banks Big Data DOL EU FDIC Fiduciary Rule FINRA Fixed Income Investments IRS MREL Recordkeeping Requirements SEC

Shaping MREL for European (and non-European) Banks

The European Commission (“Commission”), on 23 November 2016, released its legislative proposals to amend the EU’s Bank Recovery and Resolution Directive (“BRRD”) to provide more detailed rules relating to the setting of MREL...more

12/12/2016 - Banks Bonds BRRD Capital Requirements Regulation (CRR) EU European Commission Holding Companies Insolvency MREL Structured Financial Products Subordination TLAC

New EU Banking Legislation Reforms

On 23rd November 2016, the European Commission released a package of banking legislation reforms. Some of these were expected – in particular those related to the minimum requirement for eligible liabilities and own funds...more

11/28/2016 - Banking Reform Banks BRRD EU FSB MREL TLAC

EU Market Abuse Regulation - Market Soundings Safe Harbour: Compliance and Record Requirements

The EU Regulation on Market Abuse (“MAR”) prohibits a person from unlawfully disclosing inside information relating to securities within the scope of the legislation. An unlawful disclosure is made when a person possesses...more

10/25/2016 - Compliance EU EU Market Abuse Regulation (EU MAR) European Securities and Markets Authority (ESMA) Financial Instruments Market Abuse Market Soundings MTFs Recordkeeping Requirements Safe Harbors Securities

EU Market Abuse Regulation - Requirements for U.S. Issuers

The EU Regulation on Market Abuse (“MAR”) came into effect on 3 July 2016, replacing the previously existing Market Abuse Directive and expanding the application of the EU’s market abuse regime. In addition to detailing...more

10/25/2016 - Buyback Programs Disclosure Requirements EU EU Market Abuse Regulation (EU MAR) European Securities and Markets Authority (ESMA) Financial Instruments Investment Market Abuse MTFs Municipal Securities Issuers PDMR

EBA Second Monitoring Report of AT1 Instruments

On 11 July 2016, the European Banking Authority (“EBA”) published a draft of its second Report on the monitoring of Additional Tier 1 (“AT1”) instruments of EU institutions. The Report was undertaken pursuant to Article 80...more

8/3/2016 - Banking Sector Capital Requirements Regulation (CRR) EU European Banking Authority Regulation Technical Standards (RTS)

Brexit: Some Initial Thoughts on Prospectus Requirements for Issuers Offering Financial Securities in the UK/EU

The United Kingdom has voted in a referendum by a narrow majority to leave the European Union (“Brexit”). The outcome of the referendum will have far-reaching consequences on financial markets and international capital...more

6/30/2016 - Capital Raising EEA EFTA EU Financial Markets Free Trade Agreements Member State Norwegian Model Offerings Prospectus Referendums Securities UK UK Brexit

Setting the New Benchmark: EU Regulation on Financial Benchmarks

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

6/14/2016 - Benchmarks Commodities EU European Commission European Securities and Markets Authority (ESMA) Financial Conduct Authority (FCA) Financial Transactions Interest Rates IOSCO Libor Market Abuse MiFID II

Final European Standards for Derivatives Collateralisation

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

3/18/2016 - BCBS Collateral Counterparties Derivatives EMIR Endangered Species Act (ESA) EU European Commission European Securities and Markets Authority (ESMA) Exceptions Exemptions IOSCO Margin Requirements OTC Popular Regulation Technical Standards (RTS)

Structured Thoughts: News for the financial services community, Volume 6, Issue 9

ESMA Final Report on Complex Debt Instruments and Structured Deposits - On 26 November 2015, the European Securities and Markets Authority (“ESMA”) published its Final Report on its “Guidelines on complex debt...more

12/15/2015 - Banking Sector Derivatives DOL EU EURIBOR European Securities and Markets Authority (ESMA) Exchange-Traded Products Fiduciary Duty FINRA MiFID II Regulatory Agenda SEC Structured Finance

Casting Light on Shadows: New Transparency Rules for Securities Finance Transactions

This article summarises potential new European regulatory obligations that may arise for any financial entity, whether located inside or outside of the European Union, that regularly or occasionally enters into securities...more

12/10/2015 - EU Proposed Regulation Reporting Requirements Securities Financing Transactions (SFTs) Shadow Banking Transparency

Resolution of GSIBs – FSB Final TLAC Principles

On 9 November 2015, the Financial Stability Board (FSB) published its final principles on the loss-absorbing and recapitalisation capacity of global systemically important banks (G-SIBs) in resolution together with a final...more

11/13/2015 - Basel III Emerging Markets EU FSB Global Systemically Important Financial Institutions (GSIFI) Proposed Regulation Recapitalization

Structured Thoughts: News for the financial services community, Volume 6, Issue 5

OCIE Issues Risk Alert Relating to Structured Note Sales - Earlier this year, the SEC’s Office of Compliance Inspections and Examinations (the “OCIE”) indicated branch offices and structured products as two of its...more

9/1/2015 - Broker-Dealer Compensation Standards Derivatives EDGAR Endangered Species Act (ESA) EU Financial Institutions FINRA Internal Communications IRS Loss Contingencies NASD OCIE Risk Alert Risk Management SEC Structured Finance Training UK Underwriting

Valuing Derivatives in a Bank Bail-In

Under the EU’s Bank Recovery and Resolution Directive (“BRRD”), one of the key powers given to national resolution authorities is the ability to impose losses on, or “bail-in”, certain financial liabilities of the failing...more

7/23/2015 - Banking Sector BRRD Comment Period Derivatives EU European Banking Authority Exclusions Financial Institutions Proposed Regulation Regulatory Standards Valuation

Suspension of Contractual Rights of Counterparties to UK Banks

On 26 May 2015, the Prudential Regulation Authority (“PRA”) of the UK issued a consultation paper entitled “Contractual stays in financial contracts governed by third-country law”, proposing a new restriction that would apply...more

6/2/2015 - Banks EU Financial Institutions Financial Stability Acts Insolvency Investment Firms Prudential Regulation Authority UK

Difficulty in Understanding? ESMA Consultation Paper on Complex Debt Instruments and Structured Deposits

On 24 March 2015, the European Securities and Markets Authority (ESMA) published a Consultation Paper setting out draft guidelines on complex debt instruments and structured deposits. Background - The...more

3/31/2015 - Complex Financial Products Deposit Accounts EU European Securities and Markets Authority (ESMA) MiFID

Structured Thoughts - Volume 6 , Issue 2 - March 2015

In This Issue: - FCA Publishes Thematic Review on Structured Product Development and Governance - EU Commission Review of Prospectus Directive - SEC Issues Investor Bulletin Relating to Structured Notes -...more

3/16/2015 - Canada EU European Commission False Claims Act (FCA) Financial Conduct Authority (FCA) FINRA Prospectus SEC Structured Financial Products Toronto Stock Exchange

A European Prospectus Revolution?

The EU prospectus regime, based on Directive 2003/71/EC (the “Prospective Directive”) as amended, has been in place now for nearly 10 years and was due to be reviewed by the European Commission by 1 January 2016. However, the...more

2/24/2015 - Capital Markets EU European Commission Funding Prospectus Startups Venture Funding

From EMIR to Eternity? - The EU Financial Regulatory Agenda Into 2015 and Beyond

2014 was a very active year for financial regulation in the European Union (EU). There was a push to finalise much of the outstanding primary legislation on the regulatory reform agenda in advance of the European...more

1/7/2015 - EMIR EU European Commission Financial Regulatory Reform

Structured Thoughts: Volume 5, Issue 7 - November 11, 2014

In This Issue: - Index Changes and Successor Indices: Avoiding Delisting From The NYSE Arca - EU PRIIPS Regulation Expected to Come Into Force - UK Review of the Fixed Income, Currency and Commodities...more

11/12/2014 - ETNs EU Financial Regulatory Reform FINRA NYSE SEC Structured Financial Products UK

Clearing Derivative Transactions in the EU: What You Need To Know

Key Highlights: ..All counterparties within scope of the European Market Infrastructure Regulation (“EMIR”) and subject to the clearing obligation will soon be required to centrally clear their applicable derivatives...more

10/16/2014 - Derivatives Derivatives Clearing Organizations EMIR EU European Securities and Markets Authority (ESMA)

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