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Financial Regulatory Developments Focus - April 8, 2014

In this issue: - Derivatives - Bank Structure - Regulatory Capital - Financial Services - Financial Market Infrastructure - Funds - Financial Crime - People -...more

Orrick's Financial Industry Week in Review - March 31, 2014

Fed Issues a Report on Mobile Financial Services - On March 25, the Fed issued a report on the use of mobile phones to obtain financial services. Last year, 33 percent of all mobile phone users and 51 percent of...more

ESMA Updates Q&A on EMIR Implementation

On March 20, ESMA published an updated version of its questions and answers document (Q&A) on the implementation of EMIR (the Regulation on over-the-counter (OTC) derivatives, central counterparties (CCPs) and trade...more

Orrick's Financial Industry Week in Review - March 24, 2014

FINRA Proposes Lighter Regulatory Regime For Limited Corporate Financing Brokers - The Financial Industry Regulatory Authority (FINRA) recently issued a Regulatory Notice requesting comment on a Proposed Rule Set for...more

ESMA Calls for a Uniform Definition of “Derivatives” Under EMIR

The European Securities and Markets Authority has requested clarity on the definition to ensure consistent application across member states. Following industry lobbying, the European Securities and Markets Authority...more

Orrick's Financial Industry Week in Review - February 18, 2014

CFTC and EC Statement on Regulatory Framework - On February 12, the CFTC and the European Commission announced jointly that the two agencies have made significant progress in their collaboration on the regulatory...more

Financial Regulatory Developments Focus - February 18, 2014

In this issue: - Derivatives - Regulatory Capital - Financial Services - Enforcement - Events - People - Excerpt from Derivatives - ESMA Requests Clarification on...more

EMIR FX Forward Reporting Delayed as ESMA Asks European Commission to Clarify Derivatives Definition

There has been another very significant twist in the somewhat chaotic implementation of the European Market Infrastructure Regulation (EMIR) as the European Securities and Markets Authority (ESMA) has today requested the...more

Actions Required For Hedge Funds Under Derivatives Reforms – Europe Update

The European Market Infrastructure Regulation (EMIR1) imposes new reporting, clearing, collateral and conduct of business requirements on all derivatives market participants which are based in the EU or deal with EU...more

Nailing the LEIs – How EMIR Trade Reporting Obligations Will Affect UCITS and Alternative Investment Funds

The European Market Infrastructure Regulation (Regulation No. 648/2012), known as “EMIR”, requires entities that transact derivatives to report prescribed details of any financial derivative instruments (“FDIs”) they conclude...more

Update on the European Market Infrastructure Regulation

With the imminent trade reporting obligation under EMIR, affected entities should review the new requirements as well as the status of other EMIR obligations. On 12 February 2014, the trade reporting obligation under...more

Financial Regulatory Development Focus

In this issue: - Derivatives - Regulatory Capital - Financial Services - Consumer Protection - Enforcement - Funds - People - Events - Hearings - Excerpt...more

Financial Regulatory Developments Focus

In this issue: - Derivatives - Regulatory Capital - Financial Services - Consumer Protection - Enforcement - People - Hearings - Excerpt from Derivatives: ESMA...more

Two Months to Comply With European Reporting Rules for Derivatives – What Buy-Side Entities Need To Know

Many of the provisions of the Regulation on Derivative Transactions, Central Counterparties and Trade Repositories, known as the European Market Infrastructure Regulation 648/2012 (“EMIR”), are now in effect throughout the...more

The Extra-territorial Impact of EMIR on Non-EU Swap Counterparties

On November 18, 2013, the European Securities and Markets Authority (“ESMA”) published its final report on technical standards detailing how the regulation of over-the-counter (“OTC”) derivative contracts in the European...more

Reporting Obligations under EMIR

The European Markets Infrastructure Regulation (the Regulation on OTC derivatives, central counterparties and trade repositories) ("EMIR") entered into force on 16 August 2012, although many of its requirements have not yet...more

Cross-Border Application of EMIR — What Has Changed?

The European Securities and Markets Authority (ESMA) has now published its Final Report regarding the cross-­border application of European Market Infrastructure Regulation (EMIR) Regulatory Technical Standards (the ...more

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

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

ESMA Authorises Trade Repositories

The European Market Infrastructure Regulation (including any implementing legislation, regulation, technical standards and guidance related thereto, “EMIR”) was adopted on 4 July 2012 and entered into force on 16 August 2012...more

The Financial Report - Volume 2, No. 19. October 2013 (Global)

Discussion and Analysis - Most of us have seen those top-rated TV commercials for a wireless provider featuring a conservatively dressed man sitting at a little table with several children and asking them, “Is it...more

Governance & Securities Law Focus - October 2013

In this issue: - ASIAN DEVELOPMENTS - HKEx publishes Amended Listing Rules to Complement the New IPO Sponsor Regime - US DEVELOPMENTS - SEC Developments - Noteworthy US Securities Law...more

ESMA Advice on Third-Country Equivalence Under EMIR, II

On 3 September, ESMA published its technical advice to the European Commission on the equivalence of the US and Japanese derivatives frameworks to the EU rules. On 2 October, ESMA supplemented its technical advice with...more

Governance & Securities Law Focus: Europe Edition, October 2013

In this issue: - EU Developments - Opinion on ESMA’s Powers under the Short Selling Regulation - ESMA Publishes Third Country Advice on Equivalence - ESMA Consults on the Clearing...more

The Financial Report - Volume 2, No. 18 • October 10, 2013 (Global)

IN THIS ISSUE: - Discussion and Analysis - News from the Americas - News from Asia and the Pacific - News from Europe - Global Regulators - US Securities and Exchange Commission Developments - US Commodity...more

Responses to ESMA Consultation Paper on EMIR Clearing Obligation

On September 17, the European Securities and Markets Authority (ESMA) published responses to its July 2013 consultation paper on draft regulatory technical standards (RTS) on contracts having a direct, substantial and...more

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