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Blog: PSD2: EBA consults on PII Guidelines for payment initiation & account information service providers

The European Banking Authority (EBA) has published its draft Guidelines on professional indemnity insurance (PII) and comparable guarantees for payment initiation and account information service providers (PISPs and AISPs...more

The Delta Report – Derivatives Newsletter: September 2016

In this issue of The Delta Report, we bring you further updates on developments in the global derivatives space. In Europe, the focus is on Brexit and the newly-released EU final regulatory standards on the valuation of...more

UK Regulator Consults on Qualification Standards for Financial Advisers

The Financial Conduct Authority published a consultation paper on proposed updates to the current appropriate qualification examination standards. Individuals within regulated firms that, for example, advise on securities,...more

Bank of England Deputy Governor for Markets and Banking to Leave the Bank

The Bank of England announced the departure of Minouche Shafik, Deputy Governor for Markets and Banking....more

European Central Bank Draft Guidance on Non-Performing Loans

The European Central Bank published proposed draft Guidance on non-performing loans. The proposed Guidance addresses the main aspects of strategy, governance and operations for resolving NPLs. Once finalized, the Guidance...more

European Commission Calls for Acceleration of Capital Markets Union

The European Commission published a Communication calling for implementation of the Capital Markets Union to be accelerated. The CMU is part of the third pillar of the Commission Investment Plan for Europe. The CMU Action...more

Opportunities in challenging markets: Sale-and-Leaseback, Build-to-Suit and other new Real Estate deal structures in the UAE

Against a backdrop of lower oil prices and reduced government spending, real estate markets across the UAE have softened in recent times, resulting in tightened liquidity and contracted asset values. However, challenging...more

European Banking Authority Reports on Core Funding Ratio

The EBA reports that overall there appears to be a lack of correlation in terms of outcomes and conclusions between the core funding ratio and the net stable funding ratio for the whole sample, in particular for smaller...more

A Major Change to the Foreign Investment Regime in China

The current Chinese foreign investment laws were enacted decades ago. Under these laws the approval process is typically time-consuming and burdensome for a foreign investor. In an attempt to streamline the regulatory...more

PE investments into oil and gas in the low oil price environment

Over the past 24 months, the low oil price environment has led to increased interest in the hydrocarbon sector from private equity investors. However, this has not translated into the anticipated avalanche of PE investments...more

European Supervisory Authorities Opines on Final Draft Technical Standards on Uncleared Derivatives

The Joint Committee of the European Supervisory Authorities published an Opinion on the European Commission's proposed amendments to the final draft Regulatory Technical Standards on risk mitigation techniques for uncleared...more

Real Estate Gazette - Issue 25: Focus on distressed assets

A very warm welcome to Issue 25 of DLA Piper’s Real Estate Gazette. The global real estate market is currently operating against a backdrop of economic uncertainty. Brexit, immigration and presidential elections in the US...more

China’s Ongoing Foreign Direct Investment Law Reform: A Major Move to Simplify Market Entry Matters

China’s foreign investment regulatory landscape is undergoing another wave of major revamping since China amended its Company Law and the implementation guidelines regarding the registered capital of foreign-invested...more

Deposit Guarantee Scheme Co-Operation Agreement Published by EFDI

On September 15, 2016, the European Forum of Deposit Insurers (EFDI) published its model deposit guarantee scheme co-operation agreement and supporting rulebook. The recast Deposit Guarantee Scheme Directive (2014/49/EU)...more

UK Regulator Bans Sole Trader Investment Business from the UK Financial Services Industry  

The FCA concluded that Ms. Parry’s actions amounted to a failure to act with integrity and were therefore in contravention of Statement of Principle 1 of the FCA’s Statements of Principle. Furthermore, the FCA concluded that...more

European Parliament Announces Decision to Reject Delegated Resolution of RTS on Key Information Documents for PRIIPs

On September 14, 2016, the European Parliament announced its decision to reject the European Commission’s proposed Delegated Regulation supplementing the Regulation on key information documents (KIDs) for packaged retail and...more

Orrick's Financial Industry Week in Review

Financial Industry Developments - OCC Discusses Marketplace Lending - On September 13, 2016, Comptroller of the Currency Thomas J. Curry discussed marketplace lending's risks and associated policy questions. He...more

Wells Fargo Week: Part V – Compliance is the Answer

I want to end this week’s review of the Wells Fargo scandal by considering what is at issue and what is at stake in this imbroglio. Unlike a Foreign Corrupt Practices Act (FCPA) violation, Wells Fargo paid the relatively...more

This Week in FCPA-Epiode 23, the Wells Fargo edition [Video]

In this week's episode, Jay Rosen and I discuss the following: Show notes for this week’s edition: 1. Tom's week long series on Well’s Fargo scandal. 2. Christina Muehl’s two part series on Corruption, Crime and...more

Providing Brokerage Services in Commodities in the UAE: futures and derivatives trading

To perform as a trader (broker) of commodities in the UAE the company (a legal entity incorporated according to the UAE law or foreign company incorporated outside the UAE) needs to carry out the necessary procedures to...more

China Amends Its Foreign-Investment Laws, Officially Reforming Its More Than Three-Decade-Old Foreign-Investment Approval Regime

On September 3, 2016, the Twelfth National People’s Congress Standing Committee passed amendments to the current four main foreign-investment laws in China: Law of the People's Republic of China on Chinese-Foreign Equity...more

New York DFS Issues $180M BSA/AML Penalty

New York’s banking regulator cracked down on enforcement of the state’s anti-money laundering (AML) law, issuing a $180 million penalty against Mega International Commercial Bank of Taiwan (Mega Bank) for past violations and...more

FCPA Compliance Report-Episode 280-Tim Hedley and Rich Girgenti on their new book The New Era of Regulatory Enforcement [Video]

In this episode, authors Tim Hedley and Rich Girgenti discuss their new book The New Era of Regulatory Enforcement. ...more

Blog: Payment services & e-banking: is information “provided” on a “durable medium” if it’s sent by email

BAWAG PSK Bank, Austria provides e-banking services. To do this, it creates a mailbox for every BAWAG e-banking customer, which is accessible by logging on to the BAWAG e-banking system. BAWAG sometimes sends messages to...more

Financial Services Report, Fall 2016

Editor’s Note - So much for summer! The weather is cooling, the kids are back to school, and we better not see you wearing white so long after Labor Day! For those of you having a little trouble getting back in the...more

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