News & Analysis as of September 19, 2024

Compliance

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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 -

Brussels Regulatory Brief: February 2024

K&L Gates LLP on 3/5/2024

Antitrust and Competition - The European Commission Carried Out Unannounced Inspections in the Tires Sector - On 30 January 2024, the Commission conducted dawn raids at the premises of several companies active in the tires...more

US vs EU/UK Margin Rules Comparative Summary

Latham & Watkins LLP on 5/18/2022

This updated guide lays out the margin requirements for uncleared derivative transactions in a user-friendly comparative table. ...more

EMIR ALERT: EMIR REFIT – 19 days to go…

Dechert LLP on 5/30/2019

On Tuesday 28 May 2019, the EMIR Refit Regulation (the "EMIR Refit") was published in the Official Journal. Relevant entities now have only 19 days to prepare for some of the key changes, ahead of the go live date of Monday...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 9/29/2015

SEC Updates Compliance and Disclosure Interpretations for Legacy Deals - On September 16, the SEC released its updated compliance and disclosure interpretations for the rules adopted under Regulation AB, the Securities...more

Dodd-Frank at 4: Where do we go from here?

Morrison & Foerster LLP on 8/6/2015

Where do we go from here? As we mark another milestone in regulatory reform with the fourth anniversary of the enactment of the Dodd-Frank Act, it strikes us that although most studies required to be undertaken by the Act...more

Corporate and Financial Weekly Digest - Volume IX, Issue 33

Katten Muchin Rosenman LLP on 8/25/2014

In this issue: - ISS Launches New Equity Plan Data Verification Portal - ISDA Publishes Protocol for 2014 Credit Derivatives Definitions - FinCEN Issues Advisories for US Financial Institutions -...more

No KIIDing - Hefty Fine from UK Regulator Underlines Importance of Compliance by UCITS

Dechert LLP on 6/7/2014

A fine of over £18 million was recently imposed by the UK regulatory body, the Financial Conduct Authority (the “FCA”), on a fund manager for a range of compliance breaches, including failing to ensure that its KIIDs were...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 5/27/2014

EU Commission Sends Statement of Objections to Three Banks in Cartel Investigation - On May 20, the European Commission announced that it has sent a statement of objections to Credit Agricole, HSBC and JP Morgan for...more

"EU Derivatives Trade Reporting Obligations to Begin on February 12, 2014"

Skadden, Arps, Slate, Meagher & Flom LLP on 11/15/2013

Starting February 12, 2014, the European Market Infrastructure Regulation (EMIR) will require EU-counterparties to all derivative contracts, whether traded on or off exchange, to report certain trade information and details...more

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European Union › Derivatives › Compliance

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