News & Analysis as of

European Commission Investment Adviser

Goodwin

EU AI Act: Key Points for Financial Services Businesses

Goodwin on

The European Union (EU) Artificial Intelligence Act (AI Act), Regulation (EU) 2024/1689 of the European Parliament and of the Council of 13 June 2024 laying down harmonised rules on artificial intelligence and amending...more

Walkers

Irish Quarterly Legal and Regulatory Report - Asset Management and Investment Funds July - September 2023

Walkers on

Welcome to the July – September 2023 issue of our Irish Quarterly Legal and Regulatory Developments report for asset management and investment funds. This report covers key dates and developments during the quarter, such...more

A&O Shearman

European Commission Publishes Retail Investment Strategy

A&O Shearman on

On May 24, 2023, the European Commission published a Retail Investment Strategy package aimed at enhancing retail investor protections across the EU and encouraging participation in the EU capital markets. The package...more

Cadwalader, Wickersham & Taft LLP

EC Will Not Introduce Minimum Criteria for Sustainability Funds Under SFDR

The European Commission has rejected suggestions that it introduce minimum environmental standards for Article 8 or Article 9 funds under the EU Sustainable Finance Disclosure Regulation (SFDR). On April 14, 2023, the...more

Paul Hastings LLP

Daily Financial Regulation Update -- Thursday, October 27, 2022

Paul Hastings LLP on

October 26, 2022- The U.S. Department of the Treasury's Office of Foreign Assets Control took action to counter the Government of the Russian Federation's persistent influence campaigns and systemic corruption in Moldova by...more

Skadden, Arps, Slate, Meagher & Flom LLP

Challenges for Cross Border Distribution of Private Funds in 2022

On January 12, 2022, Skadden partners Greg Norman and Anna Rips led the webinar “Challenges for Cross-Border Distribution of Private Funds in 2022,” which considered recent changes to the rules and regimes governing the...more

A&O Shearman

Republic of Poland v PL Holdings SÀRL: CJEU Further Undermines Intra-EU Investment Protections

A&O Shearman on

On 26 October 2021, the Grand Chamber of the Court of Justice of the European Union (CJEU) handed down its judgment in Republic of Poland v. PL Holdings Sàrl. The CJEU ruled that EU Member States are prohibited from entering...more

King & Spalding

MiFID II und Nachhaltigkeitspräferenzen – ESG-Vorgaben für den Fondsvertrieb

King & Spalding on

ESG geht auch an der Vertriebsregulierung nach MiFID II (Richtlinie 2014/65/EU) nicht spurlos vorbei: Die delegierten Rechtsakte zur MiFID II (Delegierte VO (EU) 2017/565 und Delegierte Richtlinie (EU) 2017/593) werden um...more

Katten Muchin Rosenman LLP

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

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

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Advice to Firms on Protecting Customers from Online Account...

BROKER-DEALER FINRA - Shares Practices Firms Use to Protect Customers from Online Account Takeover Attempts - On April 11, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-18 (Notice) in...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on CFTC Guidance for Futures Commission Merchants on Risk Assessments and...

BROKER-DEALER - 2021 Advisory Committee Overview and Engagement Notice - On March 26, the Financial Industry Regulatory Authority (FINRA) published a notice encouraging employees of member firms and other interested...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on ESG and Climate-Risk Disclosure Initiatives from the SEC, CFTC European...

SEC/CORPORATE - Acting SEC Chair Lee Provides Public Statement Welcoming Public Comment on Climate Change Disclosures - On March 15, Acting Securities and Exchange Commission Chair Allison Herren Lee made a public...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on CFTC approves amendments to Form CPO-PQR, ISDA helps markets deal with...

BROKER-DEALER - FINRA Requests Comments for Proposed Amendments to FINRA Rule 2165 - On October 5, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-34, which requests comment on proposed...more

Dechert LLP

ESG Snapshot: Overview of the ESG driven amendments to MiFID

Dechert LLP on

What is the law/regulation? Following a consultation that ran between May and June 2018, the European Commission published a draft delegated regulation in January 2019 (the “ESG Regulation”). The ESG Regulation amends the...more

A&O Shearman

European Securities and Markets Authority Issues Call for Evidence on Product Intervention Measures

A&O Shearman on

The European Securities and Markets Authority has issued a call for evidence on the impact of its product intervention powers prohibiting the marketing, distribution and sale of binary options to retail clients and imposing...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest Featuring Articles on the Latest SEC Guidance and Enforcement Actions

SEC/CORPORATE - SEC Division of Corporation Finance Issues C&DIs Regarding Inline XBRL - On August 20, the staff of the Division of Corporation Finance (the staff) of the Securities and Exchange Commission released...more

White & Case LLP

EU Sustainable Finance Regulation

White & Case LLP on

The EU sustainable finance market has developed organically, guided by voluntary but universally accepted principles. According to recent research, climate change could cost up to 19 per cent. of Global GDP by the end of...more

A&O Shearman

MiFID II, Research and Extraterritoriality: The SEC, European Commission and FCA Solution

A&O Shearman on

On October 26, 2017, the US Securities and Exchange Commission, European Commission and the UK Financial Conduct Authority released, in a coordinated manner, a series of significant orders and guidance to address some of the...more

Kilpatrick

Advisers Trading in Europe or Advising E.U. Clients Must Prepare for MiFID II

Kilpatrick on

On January 3, 2018, the European Commission’s sweeping reform, the Markets in Financial Instruments Directive II (“MiFID II”), will become effective. MiFID II applies to firms providing investment services or performing...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

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, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

Financial Industry Developments - SEC Adopts Final Rules to Facilitate Intrastate and Regional Securities Offerings - On October 26, 2016, the Securities and Exchange Commission adopted rules designed to modernize...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

Federal Reserve Announces Extension of Conformance Period under Section 13 of the Bank Holding Company Act - On July 7, 2016, the Federal Reserve announced that it will extend until July 21, 2017 the conformance period...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

SEC Adopts Trade Acknowledgment and Verification Rules for Security-Based Swap Transactions - On June 8, 2016, the Securities and Exchange Commission publicized the implementation of "rules that will establish timely and...more

K&L Gates LLP

UCITS V Directive—Overview and Practical Implications

K&L Gates LLP on

Changes to the UCITS Directive (known as “UCITS V”) were published in the Official Journal of the European Union and came into force on 17 September 2014. EU Member States are required to transpose UCITS V into national law...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest - Volume X, Issue 22

In This Issue: - SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules - States Challenge Blue Sky Preemption Under Regulation A+ - FINRA Proposes Revised BrokerCheck Hyperlink Rule -...more

27 Results
 / 
View per page
Page: of 2

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide