Consultation

News & Analysis as of

Corporate Criminal Liability: the UK is Now Talking the Talk and Walking the Walk

The UK’s growing focus on corporate criminal liability was seen in two recent pieces of news. Last Friday the government announced a consultation on extending the reach of corporate criminal liability to additional...more

Financial Conduct Authority Publishes New Consultation Paper on MiFID II

On 16 December 2016, the Financial Conduct Authority (FCA) published its final Consultation Paper on the implementation of the second Markets in Financial Instruments Directive (MiFID II) (CP16/43). This follows three...more

European Banking Authority Proposals for Designation and Supervision of Significant-Plus Branches

The European Banking Authority published for consultation draft Guidelines on supervision of significant branches. The proposed Guidelines set out how the consolidating supervisor, the home supervisor and the host supervisor...more

UK Financial Conduct Authority Publishes Fourth Consultation on Implementing MiFID II

The Financial Conduct Authority published its fourth consultation paper on the implementation of the revised Markets in Financial Instruments Directive in the UK. MiFID II regulates retail and wholesale investment business....more

UK Regulator Proposals to Amend the Conduct of Business Rules for Retail CfDs

The Financial Conduct Authority published a consultation paper setting out its proposals to enhance the conduct of business rules for firms providing contract for difference products to retail clients and to limit the risks...more

EU Draft Guidelines on Major Incident Reporting Published for Consultation

The European Banking Authority launched a consultation on draft Guidelines on major incidents reporting under the Payment Services Directive 2. PSD2 requires payment service providers to notify their national regulator...more

Basel Committee on Banking Supervision Consults on Revisions to Correspondent Banking Guidance for Money Laundering and Financing...

The Basel Committee on Banking Supervision launched a consultation on proposed revisions to the correspondent banking and account opening annexes of its Committee Guidelines on sound management of risks related to money...more

Pensions Round-Up - December 2016 (UK)

In this edition we look at key developments from November 2016 including the following. - The Pensions Regulator: the publication of checklists about new information required in the 2016- 17 scheme return for DB and...more

Pensions Round-Up - December 2016

In this edition we look at key developments from November 2016 including the following - The Pensions Regulator: the publication of checklists about new information required in the 2016-17 scheme return for DB and...more

U.S.-Style Leveraged Lending Guidance Comes to Europe

On 23 November 2016, the European Central Bank (ECB) published its draft guidance to banks on leveraged lending, launching a public consultation period that runs until 27 January 2017. The draft guidance is very similar to...more

UK Prudential Regulator Consults on Raising the Deposit Protection Limit

The Prudential Regulation Authority published a consultation paper on proposals to reset the deposit protection limit at £85,000. The purpose of the update is to provide depositors with PRA-authorized firms commensurate...more

UK Prudential Regulation Authority Issues Second Consultation Paper on Implementing MiFID II

The Prudential Regulation Authority launched its second consultation on implementing certain aspects of the Markets in Financial Instruments legislative package, which comprises the Markets in Financial Instruments Directive...more

The Senior Managers Regime – is responsibility for a bank's legal function in or out?

On 7 March this year the FCA and PRA’s new Senior Managers Regime (SMR) came into force for banks following a lengthy and extensive consultation. During that consultation we had identified and written about the lack of...more

Pensions Ombudsman Round-Up - October 2016 (UK)

Welcome to the latest edition of DLA Piper’s monthly newsletter – Pensions Round-Up – in which we provide an overview of developments in pension legislation, case law and regulatory guidance. In this edition we look at...more

Proposed EU Technical Standards on Pre-trade Transparency Requirements for Package Orders

The European Securities and Markets Authority launched a consultation on pre-trade transparency rules for package orders under the Markets in Financial Instruments Regulation. Package transactions are transactions executed by...more

International Organization of Securities Commissions Consults on Other Products and Services Offered by Credit Rating Agencies

The International Organization of Securities Commissions published a consultation paper on the use of non-traditional products or services offered by credit rating agencies. ...more

Draft EU Guidelines on Information Required for Authorization Applications by Payment Institutions

The European Banking Authority published for consultation draft Guidelines on the detailed information required to be submitted with an application for authorization by payment institutions and electronic money institutions,...more

French Digital Republic Law Expands Rights of Users and Regulators (Law No. 2016-321 of 7 October 2016)

On 7 October 2016, the president of the French Republic promulgated the Law for a Digital Republic. This promulgation closes the legislative process commenced in December 2015, which itself was preceded by a public...more

EU Consultation on Assessing the Suitability of Management

The European Banking Authority and the European Securities and Markets Authority launched a joint consultation on proposed Guidelines on the Assessment of the Suitability of the Members of Management Body and Key Function...more

International Bodies Publish Second Consultation on Harmonization of Key OTC Derivatives Data Elements

The Committee on Payments and Market Infrastructures and the International Organization of Securities Commissions published a joint consultative report on the harmonization of a second batch of key OTC derivatives data...more

Basel Committee on Banking Supervision Consults on Regulatory Treatment of Accounting Provisions 

The Basel Committee on Banking Supervision published a consultation paper and discussion paper on the regulatory treatment of accounting provisions under the Basel III capital framework and related policy considerations...more

Consob recommendation on the distribution of financial instruments through a trading venue

On 18 October 2016 - after a public consultation opened on 9 May 2016 - the Italian regulator (Consob) published a new recommendation on the distribution of financial instruments through a trading venue. In particular,...more

Pensions Round-Up: September 2016 (UK)

In this edition we look at key developments from September 2016, including the following: The announcement of the Levy Estimate for 2017/18 and the publication of the consultation in relation to the levy rules; and a...more

Bank of England Consults on Reform of Sterling Overnight Index Average Interest Rate Benchmark

The Bank of England published a consultation paper on the Bank’s proposals to reform the Sterling Overnight Index Average Interest Rate Benchmark, known as SONIA. The Bank of England, which took over as administrator of SONIA...more

Proposed EU Technical Standards Under the Benchmark Regulation 

The European Securities and Markets Authority published for consultation the draft technical standards it is required to prepare under the Benchmark Regulation. The Benchmark Regulation sets out the authorization and...more

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