News & Analysis as of

Financial Regulatory Reform European Union European Securities and Markets Authority (ESMA)

Regulation Round Up - June 2017

by Proskauer Rose LLP on

2 June - The ESMA published its final report on guidelines on product governance requirements under the MiFID II Directive (2004/65/EU). The guidelines (set out in Annex IV) to the final report aim to promote greater...more

The Financial Report, Volume 6, Number 3

by DLA Piper on

The Ninth Circuit Court of Appeals in San Francisco is poised to rule on, with respect to President Donald Trump’s recent executive order on immigration, the question of how much power a president has to issue executive...more

The New EU Benchmark Regulation

by DLA Piper on

There has been increased pressure on the EU to restore confidence in the integrity and accuracy of benchmarks following the LIBOR and EURIBOR market-rigging scandals. Multi-million Euro fines have already been levied against...more

Dodd-Frank at 4: Where do we go from here?

by Morrison & Foerster LLP on

Where do we go from here? As we mark another milestone in regulatory reform with the fourth anniversary of the enactment of the Dodd-Frank Act, it strikes us that although most studies required to be undertaken by the Act...more

Financial Services Regulation: Exchange – International Newsletter - Issue 26 – May 2015

by DLA Piper on

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

Update On Third-Country Equivalence Under EMIR

by Shearman & Sterling LLP on

The European Commission has adopted “equivalence” decisions on the derivatives regulatory regimes for central counterparties in Australia, Hong Kong, Japan and Singapore. Further decisions are awaited for other jurisdictions...more

Financial Services Regulation: Exchange International Newsletter - Issue 25 - February 2015

by DLA Piper on

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

Updated EMIR Q&A Published by ESMA

The European Securities and Markets Authority (ESMA) published the eleventh version of its “Questions and Answers” on EMIR implementation (EMIR Q&A) on October 24. The updated EMIR Q&A responds principally to questions that...more

Orrick's Financial Industry Week in Review

ESMA Updates its Questions and Answers on EMIR Implementation - On October 24, the European Securities and Markets Authority (ESMA) published an updated version of its Questions and Answers on the European Market...more

EU Clearing Obligation for Interest Rate Derivatives and NDFs

by Reed Smith on

On 1 October 2014, ESMA published two papers on draft Regulatory Technical Standards (RTS) for the clearing of OTC derivatives under the European Market Infrastructure Regulation (648/2012) (EMIR)...more

Governance & Securities Law Focus: Latin America Edition - October 2014

by Shearman & Sterling LLP on

In this issue: - US DEVELOPMENTS - SEC Developments - Noteworthy US Securities Law Litigation - Recent SEC/DOJ Enforcement Matters - EU DEVELOPMENTS - European Commission...more

Governance & Securities Law Focus: Asia Edition, October 2014

by Shearman & Sterling LLP on

In this issue: - Asia DEVELOPMENT - HKEx Releases Concept Paper on Weighted Voting Rights - US DEVELOPMENTS - SEC Developments - Noteworthy US Securities Law Litigation - Recent...more

ESMA Clearing Obligations for FX NDF and IRS

by Katten Muchin Rosenman LLP on

On October 1 the European Securities and Markets Authority (ESMA) published a consultation paper on draft regulatory technical standards (RTS) for the mandatory clearing of certain foreign-exchange non-deliverable forwards...more

The Financial Report - Volume 3, No. 19 • October 2014 (Global)

by DLA Piper on

News from the Americas - Securities enforcement by state regulators. The US North American Securities Administrators Association published its annual enforcement survey. It noted a significant increase in the amount of...more

Update on ESMA Clearing Obligations for Credit Default Swaps

On September 24, the European Securities and Markets Authority (ESMA) published on its website the public responses to its Consultation Paper on the draft regulatory standards (RTS) for Clearing Obligation No. 2 concerning...more

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 infrastructures in respect of central counterparties (i.e., clearing houses) published by...more

Financial Regulatory Developments Focus - September 2014

by Shearman & Sterling LLP on

In this issue: - Derivatives - Bank Prudential Regulation & Regulatory Capital - Credit Ratings - Financial Services - Shadow Banking - Funds - Financial Market...more

ESMA Publishes Responses to Consultation on the Clearing Obligation Under EMIR

On August 19, ESMA published a list of responses received in respect of its first consultation on the clearing obligation relating to draft regulatory technical standards (RTS) for the clearing of interest rate swaps under EU...more

ESMA Publishes Guidelines on Reporting Obligations Under the AIFMD

On August 8, the European Securities and Markets Authority (ESMA) published official translations of its Guidelines on Reporting Obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the Alternative Investment Fund...more

Financial Regulatory Developments Focus - August 2014 #2

by Shearman & Sterling LLP on

In this issue: - Derivatives - Bank Structure - Recovery & Resolution - Bank Prudential Regulation & Regulatory Capital - Financial Services - Consumer Protection - Funds...more

CRA3: ESMA publishes final draft Regulatory Technical Standards on disclosure requirements for Structured Finance Instruments

by Dechert LLP on

Executive Summary - Following the consultation paper published by the European Securities and Markets Authority (ESMA) in February 2014, on 24 June 2014 ESMA published its final draft of the Regulatory Technical...more

Timing and Scope of EU Clearing Obligation for Derivatives

by Shearman & Sterling LLP on

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

Financial Regulatory Developments Focus - June 2014 #3

by Shearman & Sterling LLP on

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

Financial Regulatory Developments Focus - June 2014 #2

by Shearman & Sterling LLP on

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

Financial Regulatory Developments Focus - June 2014 #1

by Shearman & Sterling LLP on

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

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