News & Analysis as of September 21, 2024

European Securities and Markets Authority (ESMA)

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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 -

Corporate & Financial Weekly Digest, Featuring Articles on Amended FINRA Registration Rules, Volcker Rule Amendments and Proposed...

Katten Muchin Rosenman LLP on 9/10/2018

BROKER-DEALER - Amended FINRA Registration Rules To Take Effect October 1 - Amended Financial Industry Regulatory Authority registration, qualification and continuing education rules will become effective on October 1....more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 2/16/2018

SEC OCIE Examinations Announces 2018 Examination Priorities - On February 7, the Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") announced its 2018 examination...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 1/19/2018

CFTC Approves Amendments to Rules on Intermediary Registration and Review of Adverse Actions - On January 9, 2018, the U.S. Commodity Futures Trading Commission (the "CFTC") approved final rules that update Parts 3 and 9...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 11/27/2017

CFTC’s Division of Market Oversight Extends Time-Limited No-Action Relief for SEFs from Certain Block Trade Requirements - On November 14, 2017, the U.S. Commodity Futures Trading Commission's Division ("CFTC") of Market...more

ESMA Updates MiFIR Data Reporting Q&As

Orrick - Finance 20/20 on 11/24/2017

The European Securities and Markets Authority (“ESMA“) published an updated version on November 14, 2017, of its Q&As on data reporting under the Markets in Financial Instruments Regulation (Regulation 600/2014) (“MiFIR“). ...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 6/9/2017

Financial Industry Developments - Fee Rate Advisory #3 for Fiscal Year 2017 - On May 31, 2017, the Securities and Exchange Commission ("Commission") announced that starting July 4, 2017, the fee rates applicable to most...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 3/10/2017

SEC Approves Rules to Ease Investor Access to Exhibits in Company Filings - On March 1, 2017, the Securities and Exchange Commission (SEC) voted to adopt rule and form amendments that will require issuers to include a...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 1/27/2017

Financial Industry Developments - Federal Reserve Board Announces Finalized Rule Adjusting the Board's Maximum Civil Money Penalties - On January 18, 2017, the Federal Reserve Board announced that it was adjusting...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 12/16/2016

Financial Industry Developments - CTFC Approves Re-Proposal of Position Limits Regulation - On December 5, 2016, the U.S. Commodity Futures Trading Commission ("CFTC") unanimously approved to re-propose rules that...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 10/7/2016

SEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies - On September 28, 2016 the Securities and Exchange Commission ("SEC") voted to adopt new rules to establish "enhanced standards for the...more

European Securities and Markets Authority Publishes Initial Proposals on the Trading Obligation under MiFIR

A&O Shearman on 9/26/2016

The European Securities and Markets Authority published a discussion paper on the trading obligation for derivatives under the Markets in Financial Instruments Regulation. The trading obligation is applicable to classes of...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 5/13/2016

FHFA Increases 2016 Multifamily Lending Caps - On May 4, 2016, the Federal Housing Finance Agency announced that it increased its 2016 multifamily lending caps for Fannie Mae and Freddie Mac from $31 billion to $35...more

Current Status of the Clearing Obligation Under EMIR

Morgan Lewis on 1/13/2016

Although EMIR came into force as long ago as August 2012, the clearing obligation it provides for was first brought into effect in December 2015 on a phased basis and only for certain interest rate swaps denominated in the G4...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 12/17/2015

Other EU Developments – Deal Reached on Benchmark Regulation and Revisions to Prospectus Directive - Benchmark Regulation - The European Commission and the Luxembourg Presidency reached agreement with the...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 12/16/2015

The Federal Housing Administration Announces New Loan Limits for 2016 - On December 9, 2015, the Federal Housing Administration ("FHA") announced its schedule of loan limits for the 2016 calendar year. The new schedule,...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 11/18/2015

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

Corporate and Financial Weekly Digest - Volume X, Issue 38

Katten Muchin Rosenman LLP on 10/5/2015

SEC/CORPORATE - ISS Publishes Results of 2015–2016 Annual Global Policy Survey - On September 28, Institutional Shareholder Services (ISS), a leading proxy advisory firm, published the results of its 2015–2016...more

ESMA, ISDA, and FIA Europe Publish Capital Markets Union Responses

Orrick - Finance 20/20 on 5/28/2015

The European Securities and Markets Authority (“ESMA”), the International Swaps and Derivatives Association (“ISDA”) and FIA Europe have published their responses to the European Commission’s Green Paper on Building a Capital...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 4/28/2015

UCITS: New KIID Q&A - ESMA published revised Q&A’s on the KIID on 26 March 2015. The Q&A includes a new question on the treatment of past performance information in case of fund mergers....more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 4/28/2015

CFTC Issues Guidance for Swap Execution Facilities on the Calculation of Projected Operating Costs - On April 23, the CFTC issued guidance regarding the calculation of projected operating costs or expenses for the...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

Investment Funds Update - Europe: Key legal and regulatory updates for the funds industry from the primary European asset...

Dechert LLP on 3/10/2015

EU Passes New Council Directive to Implement “EU-FATCA" - The Council Directive passed by the EU on 1 December 2014 implements the OECD’s Common Reporting Standard (CRS) in Europe. The Directive has to be implemented...more

Mandatory Clearing in Europe May Still Be “A Ways Off”: ESMA Responds to Proposed Amendments on Interest Rate Swaps Clearing RTS...

Eversheds Sutherland (US) LLP on 2/20/2015

The Dodd-Frank Wall Street Reform and Consumer Protection Act’s mandatory clearing requirement for interest rate swaps and certain credit default swaps has been in place for quite some time. However, the clearing requirement...more

ESMA Issues Final Draft Standards for the Central Clearing of Certain Interest Rate Swaps under EMIR

Eversheds Sutherland (US) LLP on 10/16/2014

On October 1, the European Securities and Markets Authority (ESMA) issued final draft regulatory technical standards (RTS) with respect to the central clearing of four classes of interest rate swaps (IRS). The RTS follows...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 9/9/2014

ESMA Publishes Guidelines on the EU Implementation of CPSS-IOSCO Principles - On September 4, ESMA published the translation of guidelines and recommendations on implementing the principles for financial market...more

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