News & Analysis as of September 25, 2024

Enforcement Actions

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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 -

Financial Conduct Authority Talks about a Targeted and Outcomes-Based Approach to Tackling Financial Crime

A&O Shearman on 9/11/2024

The Financial Conduct Authority has published a speech by Sarah Pritchard, FCA Executive Director, Markets and International, on taking a targeted and outcomes-based approach to tackling financial crime....more

Cadwalader Climate - April 2024 #2

Cadwalader, Wickersham & Taft LLP on 4/10/2024

In this week’s edition, we discuss the ever-increasing focus on greenwashing by way of enforcement action taken by regulatory authorities and incoming legislation aimed at enhancing consumer protection. The EU confirmed the...more

Overview of crypto asset class regulations in the EU and the US

Dechert LLP on 1/27/2023

This OnPoint summarizes the panel discussion at Dechert’s annual investment funds conference that took place in Luxembourg in the last quarter of 2022. At the conference, we discussed the Regulation on the Markets of Crypto...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Proposed Supplemental Liquidity Schedule and ESMA's Exploration...

Katten Muchin Rosenman LLP on 5/24/2021

BROKER-DEALER - Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Liquidity Schedule - The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority (FINRA)...more

The Central Bank’s CP86 Day of Reckoning – What You Need To Know

Dechert LLP on 10/28/2020

For many in the Funds Industry, the issue on 20 October 2020 of the Central Bank of Ireland’s (the “Central Bank”) Industry Letter (the “Industry Letter”) relating to the Central Bank’s Thematic Review of Fund Management...more

Proposed EU Procedural Rules for Penalties Imposed on Third-Country CCPs, Trade Repositories and Credit Rating Agencies

A&O Shearman on 12/31/2019

The European Securities and Markets Authority has launched a consultation on proposed procedural rules for penalties imposed on third-country CCPs, trade repositories and credit rating agencies. Responses are invited by...more

European Securities and Markets Authority Reports on Sanctions Imposed Under UCITS Directive

A&O Shearman on 12/30/2019

The European Securities and Markets Authority has published its second annual report on the sanctions imposed in 2018 under the Undertakings for Collective Investments in Transferable Securities Directive. The UCITS Directive...more

Key Emerging Regulatory Issues and Focus Areas for Institutional Asset Managers

Latham & Watkins LLP on 9/19/2019

This publication maps out key current areas of legal or regulatory change that are of specific relevance for institutional asset managers. These focus areas are arranged thematically, by those that affect managers or...more

Brussels Regulatory Brief: June 2019

K&L Gates LLP on 6/27/2019

INSTITUTIONAL DEVELOPMENTS - The New European Parliament: More Fragmentation, Ad Hoc Coalitions, And Greener Policies? The results of the May 2019 European Parliament (“EP”) elections resulted in a more complex European...more

Governance & Securities Law Focus: Europe Edition, April 2019

A&O Shearman on 4/25/2019

In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates. ...more

Bridging the Week - January 2019 #2

Katten Muchin Rosenman LLP on 1/15/2019

A well-renowned think tank sued the Securities and Exchange Commission claiming that the SEC’s prohibition against respondents contesting allegations in enforcement settlements violates the freedom of speech guarantee under...more

ESMA Fines Five Banks for Negligently Issuing Credit Ratings

Jones Day on 8/24/2018

The Situation: The European Securities and Markets Authority ("ESMA") has fined several banks for negligently issuing credit ratings on a professional basis without obtaining the necessary authorization to be a credit rating...more

Five EU Banks Fined for Issuing Credit Ratings Without Authorization

A&O Shearman on 8/8/2018

The European Securities and Markets Authority has fined five EU banks for issuing credit ratings without being authorized to do so by ESMA. The Credit Rating Agencies Regulation requires firms to register with ESMA as a...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 1/26/2018

SEC Division of Investment Management Letter on Cryptocurrency Related Investment Products; Joint Statement by SEC and CFTC Enforcement Directors Regarding Virtual Currency Enforcement Actions - On January 18, 2018, in a...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, Derivatives, CFTC and UK/EU Developments

Katten Muchin Rosenman LLP on 11/20/2017

BROKER-DEALER - FINRA Releases New Targeted Exam Letter Regarding Order Routing Conflicts - On November 10, the Financial Industry Regulatory Authority released the contents of a new Order Routing Conflicts targeted...more

Regulation Round Up - February 2017

Proskauer Rose LLP on 2/28/2017

The FCA and PRA announced changes to enforcement process with the aim of strengthening the transparency and effectiveness of enforcement decision-making processes. Some of the changes have already come into force, the rest...more

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

Proskauer Rose LLP on 11/16/2016

This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

This Week In Securities Litigation

Dorsey & Whitney LLP on 4/4/2016

The Supreme Court declined to hear Bebo v. SEC, 799 F. 3d 765 (7th Cir. 2015), a suit challenging the SEC’s venue selection. The Court’s order left standing the decision of the circuit court affirming the dismissal of the...more

Bridging the Week - October 2015

Katten Muchin Rosenman LLP on 10/6/2015

ESMA Publishes Final Technical Standards for MiFID II - The European Securities and Markets Authority issued the equivalent of final rules (known as “technical standards”) to implement three cornerstones of the European...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 8/31/2015

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

Bridging the Week - August 2015

Katten Muchin Rosenman LLP on 8/4/2015

ESMA Says “No for Now” to Granting Passport Rights to US Fund Managers Under AIFMD: The European Securities and Markets Authority told the European Commission last week that it was premature to grant passport rights to...more

Corporate and Financial Weekly Digest - Volume X, Issue 10

Katten Muchin Rosenman LLP on 3/16/2015

In This Issue: - NYSE Amends "Late Filer Rule" - CFTC Responds to District Court's Remand Order on Certain Cross-Border Swaps Rules - Delaware Chancery Court Addresses Proper Purpose for Inspection Demand...more

Bridging the Week - December 2014 #4

Katten Muchin Rosenman LLP on 12/23/2014

ESMA Publishes Implementing Rules for MiFID II - The European Securities and Markets Authority issued its final technical advice and initiated a consultation regarding proposed regulatory and technical standards...more

Corporate and Financial Weekly Digest - Volume IX, Issue 39

Katten Muchin Rosenman LLP on 10/6/2014

In this issse: - ISS Publishes Results of Annual Global Voting Policy Survey - FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System - NFA Issues Notice...more

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