Jeremy C. Jennings-Mares

Jeremy C. Jennings-Mares

Morrison & Foerster LLP

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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

Structured Thoughts: News for the financial services community, Volume 7, Issue 11

Structured Products Legal and Regulatory Conference: November 2016 - In November 2016, Morrison & Foerster LLP sponsored Risk magazine’s annual structured products legal and regulatory conference in Washington, D.C. ...more

11/18/2016 - Cross-Selling DOL ETNs Fiduciary Rule FINRA International Regulatory Standards Nasdaq Packaged Retail And Insurance-Based Investment Products (PRIIPS) SEC Structured Financial Products

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)

BRRD – The UK’s Approach to MREL

The Bank of England (“BoE”) recently published a consultation paper1 (“Consultation”), detailing its approach to setting a minimum requirement for own funds and eligible liabilities (“MREL”) to be maintained by UK banks and...more

1/6/2016 - Bank of England Banking Sector BRRD Capital Requirements MREL TLAC UK

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

The UK’s Fair and Effective Markets Review

On 10 June 2015, the Bank of England (“BoE”), HM Treasury (“HMT”) and the Financial Conduct Authority (“FCA”) published the final report on the “Fair and Effective Markets Review” which had been launched one year ago with the...more

6/23/2015 - Bank of England Commodities Currency Exchange FICC Financial Conduct Authority (FCA) Fixed Income Investments UK

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

Structured Thoughts: News for the financial services community, Volume 6, Issue 3

In This Issue: - The National Senior Investor Initiative - SEC Commissioner Addresses Structured Notes - The SEC Defines “Voting Equity Securities” Under the Rule 506(d) Bad Actor Disqualification...more

5/4/2015 - Elder Abuse Elder Issues Financial Institutions FINRA OCIE Rule 506(d) SEC Structured Financial Products

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

Structured Thoughts - Volume 6 , Issue 1 - January 26 , 2015

In This Issue: - FINRA Releases 2015 Regulatory and Exam Priorities Letter: Structured Products Remain an Area of Focus - OCIE Exam Priorities: 2015 - In Re: TVIX Securities Litigation - Second...more

1/27/2015 - Basel III Credit Suisse European Securities and Markets Authority (ESMA) Examination Priorities Exchange-Traded Products FINRA FSB G-SIB MiFID OCC OCIE Securities Securities Litigation Structured Financial Products

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

Safe to Fail?

On 10 November 2014, the Financial Stability Board (FSB) launched a consultation1 on the adequacy of the loss-absorbing capacity of global systemically important banks (G-SIBs) in resolution. The Basel III minimum capital...more

12/8/2014 - Banks Basel III Capital Requirements FSB G-SIB

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