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Timing and Scope of EU Clearing Obligation for Derivatives

The European Securities and Markets Authority is consulting on the mandatory clearing obligation for certain derivatives. Draft regulatory technical standards have been published for the mandatory clearing of certain interest...more

Exchange – International Newsletter - Issue 23 – July 2014

DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-third edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of regulatory developments in the...more

Structured Thoughts: Volume 5, Issue 4 - May 30, 2014

In This Issue: - No More KIDding Around: European Parliament Approves PRIIPs Regulation - FINRA Amends Rule 5110 to Exempt Certain Collective Investment Vehicles from Its Filing Requirements - The Time for the...more

Enhanced Protection for Retail Investors in the Financial Sector in Belgium: Pre-Contractual Information Requirements and Risk...

After the approval by Royal Decree of the Regulation of the Belgian Financial Services and Markets Authority (the “FSMA”) banning the distribution of certain non-mainstream financial products to retail clients (see here), two...more

Update on the EU's Proposed Financial Transactions Tax

The Court of Justice of the European Union (CJEU) recently issued a decision rejecting the UK government’s initial legal challenge against the proposed introduction of a financial transactions tax (FTT) in Europe. The...more

Basel Committee on Banking Supervision Publishes Consultative Document on Guidelines Concerning Weak Banks

On June 18, the Basel Committee on Banking Supervision (BCBS) published a consultative document on supervisory guidelines for identifying and dealing with weak banks. The guidelines are intended to assist bank supervisors and...more

Financial Regulatory Developments Focus - June 2014 #3

In this issue: - Derivatives - Regulatory Capital - Bank Prudential Regulation - Financial Services - Enforcement - People - Events - Excerpt from...more

Financial Regulatory Developments Focus - June 2014 #2

In this issue: - Derivatives - Capital and Prudential Regulation - Remuneration - Credit Ratings - Funds - Financial Services - Enforcement - Events -...more

ECB Opines on the Proposed Money Market Funds Regulation

On June 4, the European Central Bank (ECB) published an opinion on the European Commission’s proposed regulation on Money Market Funds (MMF). The MMF regulation, which is aimed at enhancing the liquidity and stability of MMF,...more

Financial Regulatory Developments Focus - June 2014 #1

In this issue: - Derivatives - Regulatory Capital - Bank Prudential Regulation - Financial Market Infrastructure - Financial Services - Enforcement - People -...more

Focus on Regulatory Law - June 2014

In This Issue: Regulatory Authorities - ..Securities and Market Authority ..Authority for the Regulation of Electronic Communications ..Data Protection Authority ..Commission Nationale Informatique et...more

Orrick's Financial Industry Week in Review

EU Commission Sends Statement of Objections to Three Banks in Cartel Investigation - On May 20, the European Commission announced that it has sent a statement of objections to Credit Agricole, HSBC and JP Morgan for...more

Financial Regulatory Developments Focus - May 2014

In this issue: - Derivatives - Bank Prudential Regulation - Financial Services - Enforcement - People - Events - Excerpt from Derivatives: Implementing Regulation...more

New French Regulations Tighten Control on Foreign Investments

A new decree expands the list of sectors in which foreign investors must seek prior French Minister of the Economy authorization - The French government issued a new decree 2014-479 dated 14 May, 2014 expanding the...more

Council of Europe adopts MiFID II

In October 2011, the European Commission released a proposal to amend and extend the Markets in Financial Instruments Directive (MiFID), referred to as MiFID II. The MiFID II proposals consist of revisions to MiFID, along...more

"UK Regulators Amend Dealing Commission Rules"

On 8 May 2014, the U.K.’s Financial Conduct Authority (the FCA) issued Policy Statement 14/7 containing rules clarifying aspects of the goods and services that U.K. asset managers can buy with dealing commission. The Policy...more

Financial Regulatory Developments Focus - May 2014

In this issue: - Derivatives - Bank Prudential Regulation - Financial Market Infrastructure - Credit Ratings - Consumer Protection - Enforcement - Events - Excerpt from...more

Orrick's Financial Industry Week in Review

UK Government Backs "Transparency & Trust" Paper Recommendations - The UK government has published a response paper largely in agreement with the controversial "Transparency & Trust" discussion paper published by its...more

Italy Regulatory Update 2/2014

In This Issue: - 1. ITALIAN LAW - 1.1 Primary legislation - 1.2 Implementing measures - 2. EC/EU LAW - 2.1 Primary legislation - 2.2 Implementing measures Please see full chart below for more...more

Financial Regulatory Developments Focus - April 2014

In this issue: - Regulatory Capital - Financial Services - Recovery & Resolution - Financial Market Infrastructure - Consumer Protection - People - Excerpt from Regulatory...more

UCITS V - Aligning with AIFMD!

The European Parliament voted to adopt the UCITS V Directive (“UCITS V”) on 15 April 2014, in advance of Parliamentary elections next month. The final vote followed a period of uncertainty where there was potential for the...more

Financial Regulatory Developments Focus - April 2014

In this issue: - Derivatives - Compensation - Regulatory Capital - Financial Services - Financial Crime - Excerpt from Derivatives: European Commission Consults on Definition...more

"EU Banking Union: Political Agreement Reached on Single Resolution Mechanism"

On March 20, 2014, the European Parliament announced that it had reached political agreement with the European Council on the regulation implementing a single resolution mechanism (SRM), which is an essential element of the...more

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

New Cyprus decrees issued for 31 March to 4 May, 2014

The Republic of Cyprus has issued new decrees pertaining to the relaxation of restrictive measures which are in force from 31 March to 4 May, 2014. Legal updates regarding these decrees, from Harneys' Cyprus Banking Group,...more

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