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UK Banking Regulator Finalizes Rules Requiring Adherence to Contractual Stay

On November 13, the Bank of England’s Prudential Regulation Authority (PRA) published a final policy statement titled “Contractual Stays in Financial Contracts Governed by Third-Country Law” (the PRA Policy Statement). These...more

Summary of ISS 2016 Policy Announcements

Institutional Shareholder Services (ISS) issued new U.S. voting policies and an updated Equity Plan Scorecard FAQ, both effective for annual shareholder meetings occurring on or after February 1, 2016. This alert provides a...more

FSB reports on shadow banking

FSB has published a suite of papers on shadow banking. The papers comprise: - a progress report on actions taken to implement FSB’s two-pronged strategy to address financial stability concerns associated with shadow...more

ESMA Issues Public Statement on Collateralization of Bank Guarantees for Energy Derivatives

On November 19, the European Securities and Markets Authority (ESMA) issued a public statement (Public Statement) regarding its decision not to extend the current three year grace period which permits non-financial firms to...more

FSB publishes global securities financing standards and processes

FSB has published its report on standards and processes for global securities financing data collection and aggregation. FSB highlighted the importance of securities financing transactions in supporting price discovery and...more

Commission makes CCP equivalence decisions

The Commission has adopted equivalence decisions for the regulatory regimes for CCPs in Canada, Switzerland, South Africa, Mexico and South Korea. CCPs from these jurisdictions wishing to obtain EU recognition can now apply...more

ESMA Publishes MiFID II Delay Analysis

As discussed in last week’s Corporate & Financial Weekly Digest, on November 18, the European Securities and Markets Authority (ESMA) published a note relating to delays in the “go-live date” of certain Markets in Financial...more

FCPA Compliance and Ethics Report-Episode 214-Felipe Sousa [Video]

In this episode I visit with Brazilian journalist Felipe Sousa on his observations about the current state of anti-corruption compliance in Brazil and the ongoing Petrobras scandal....more

ESMA updates EMIR data reporting TS

ESMA has updated its TS on the data reporting requirements under the European Market Infrastructure Regulation (EMIR). Since it created the original standards ESMA has issued a set of Q&As on elements of the reporting...more

ESMA consults on CRA methodologies

ESMA has issued a discussion paper on the validation and review of Credit Rating Agencies’ (CRAs) methodologies. The consultation seeks stakeholder views on how CRAs should demonstrate rating methodologies’ “discriminatory...more

ESMA updates MiFID protocol

ESMA has updated its protocol on the operation of its database for publishing market transparency calculations under the MiFID Implementing Regulation....more

ESMA writes to Commission on MiFID 2 delays

ESMA has written to the Commission setting out areas of MiFID 2 that it thinks will in practice be challenging or impossible to have in place by the current “go-live” date. It has noted several requirements that will involve...more

Corporate and Financial Weekly Digest - Volume X, Issue 45

SEC/CORPORATE SEC Commissioner Piwowar Speaks at Current Financial Reporting Issues Conference - On November 16, Securities and Exchange Commissioner Michael Piwowar addressed the 34th Annual Current Financial Reporting...more

Financial Regulatory Developments Focus - November 2015 #3

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Investing in Russia Guide

Dentons Moscow office has recently issued Investing in Russia Guide for companies and financial institutions considering investments in Russia. The report on the legal framework for investments covers corporate, real estate,...more

Time for an Upgrade: Central Bank of Ireland Replaces UCITS Notices and Guidance Notes with Statutory Instrument

For more than 25 years, the essential text for anybody wishing to navigate the regulatory environment for UCITS in Ireland has been the UCITS Notices which were supplemented by UCITS Guidance and then the UCITS Q&A....more

Council releases CMU conclusions

The Council has released its conclusions on the Commission’s action plan for building a capital markets union (CMU) (see FReD 2 October). It stresses the importance of preserving momentum and calls for swift adoption of the...more

Council publishes first Securitisation Regulation compromise

The Council has published the first compromise proposal on the proposed Securitisation Regulation announced as part of the CMU action plan (see FReD 2 October)....more

FCPA Compliance and Ethics Report-Episode 212-Stephen Martin on DOJ Compliance Counsel Metrics [Video]

In this episode, I visit with Baker and McKenzie partner Stephen Martin on the recently released metrics which the new DOJ Compliance Counsel will use to evaluate corporate compliance programs under and its implications for...more

ESAs consult on PRIIPS KID

EBA, ESMA and EIOPA (the European Supervisory Authorities – ESAs) are consulting on draft RTS on the layout of the Key Information Document (KID) to be used under the Packaged Retail and Insurance-based Investment Products...more

The Evolving Landscape for Finance in Greater China

Hong Kong has long served as a financial center for Asia. Now, as demand for capital in mainland China increases, and Chinese restrictions are easing, the region is poised for greater cross-border activity in the financial...more

Orrick's Financial Industry Week in Review

MiFID II Overhaul of Financial Market Rules to be Delayed - The MiFID II Directive (2014/65/EU) seeks to implement a major overhaul of existing legislation concerning the structures within which financial instruments are...more

The FCPA Guidance: Still Going Strong at Three

Yesterday the FCPA Professor reminded us that the joint Department of Justice (DOJ) and Securities and Exchange Commission (SEC) FCPA Guidance came out three years ago this month. As a commentator focusing the doing of...more

ESAs define risk weights for credit ratings

The ESAs have published the final two draft ITS on the mapping of credit assessments by external credit assessment institutions (ECAIs) under the Capital Requirements Regulation (CRR). The ESAs intend that only credit ratings...more

ESMA consults on indirect clearing

ESMA is consulting on amending regulatory technical standards (RTS) on indirect clearing arrangements for OTC derivatives under the European Market Infrastructure Regulation (EMIR) and on draft RTS for exchange-traded...more

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