News & Analysis as of

Investment Firms Banking Sector

A&O Shearman

Regulatory monitoring - July 2024

A&O Shearman on

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) International - BCBS: Consultation on report regarding various technical amendments and FAQs - Status: Consultation - Deadline for the submission of...more

K&L Gates LLP

Digital Operational Resilience in the Financial Services Sector: EU and UK Update

K&L Gates LLP on

With under six months to go until the European Union Digital Operational Resilience Act (DORA) becomes applicable on 17 January 2025, DORA implementation projects are running full steam ahead. DORA lays down uniform...more

A&O Shearman

Regulatory monitoring - March 2024

A&O Shearman on

1. Bank regulation- 1.1 Prudential regulation- (a) General- (i) International- BCBS: Basel III monitoring report- Status: Final- BCBS has published its latest monitoring report setting out the impact of the Basel III...more

A&O Shearman

Regulatory monitoring: EU version Newsletter - March 2024

A&O Shearman on

1. Bank regulation- 1.1 Prudential regulation- (a) General- (i) International- BCBA: Basel III monitoring report- Status: Final- BCBS has published its latest monitoring report setting out the impact of the Basel III...more

McDermott Will & Emery

PFOF Verbot

McDermott Will & Emery on

Die Bundesanstalt für Finanzdienstleistungsaufsicht („BaFin“) wird zunächst nicht gegen die Bezahlung von Wertpapierfirmen durch Dritte für die Weiterleitung von Kunden-Aufträgen (sog. Payment for Order flow („PFOF“))...more

Skadden, Arps, Slate, Meagher & Flom LLP

The Capital Ratio: Roundup of Upcoming UK Regulatory Reforms for Financial Institutions

UK regulators have recently announced a number of reforms for banks and other financial institutions. - On 23 November 2023, the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) (together,...more

A&O Shearman

Regulatory monitoring: EU version - November 2023

A&O Shearman on

1. Bank regulation - 1.1 Prudential regulation - The ESRB has published a speech by Christine Lagarde, President of the ECB and Chair of the ESRB, on its first general warning about financial stability risks that it published...more

Orrick, Herrington & Sutcliffe LLP

DFPI orders investment firms to desist and refrain

On November 16, under California Corporations Code § 25532, the California Division of Financial Protection and Innovation (DFPI) issued a desist and refrain order against a securities investment platform for allegedly making...more

Bressler, Amery & Ross, P.C.

SEC Enforcement Chief Issues Reminder Concerning Compliance Officer Liability

On Oct. 24, 2023, Gurbir Grewal, the Director of the U.S. Securities and Exchange Commission’s (SEC) Enforcement Division, spoke to the NY Bar Association Compliance Institute about his views concerning faltering public trust...more

Walkers

Supreme Court narrows banks' liabilities for fraudulent payments: the offshore impact

Walkers on

Fraud is on the rise. And as sums defrauded usually disappear, victims search for an alternative source to recover their losses. Unsurprisingly, the search often identifies banks' resources as a potential first call. ...more

A&O Shearman

Regulatory monitoring Newsletter - August 2023

A&O Shearman on

Our monthly regulatory newsletter monitors all relevant developments regarding German and European regulatory law in English language. In addition, we prepare an overview of articles and court decisions published in...more

A&O Shearman

Regulatory monitoring - April 2023

A&O Shearman on

ECB in focus is our blog dedicated to the banking supervisory activities of the European Central Bank (ECB). We report on key developments in European banking regulation led by the ECB as part of the Single Supervisory...more

A&O Shearman

Key Regulatory Topics: Weekly Update 24 - 30 Mar 2023

A&O Shearman on

Amongst the updates this week, the Council of the EU published a table comparing the initial position of the Commission, and the negotiating positions of the Council and the EP on the proposal for a Directive amending the...more

A&O Shearman

Regulatory monitoring: EU version - February 2023

A&O Shearman on

Our monthly regulatory newsletter monitors all relevant developments regarding European regulatory law in English language. ...more

A&O Shearman

Regulatory monitoring - February 2023

A&O Shearman on

ECB in focus is our blog dedicated to the banking supervisory activities of the European Central Bank (ECB). We report on key developments in European banking regulation led by the ECB as part of the Single Supervisory...more

A&O Shearman

Regulatory Monitoring - relevant developments regarding German and European regulatory law (UPDATED)

A&O Shearman on

Our monthly regulatory newsletter monitors all relevant developments regarding German and European regulatory law in English language. ...more

A&O Shearman

Regulatory Monitoring - relevant developments regarding German and European regulatory law - December 2022

A&O Shearman on

Our monthly regulatory newsletter monitors all relevant developments regarding German and European regulatory law in English language. ...more

A&O Shearman

Regulatory monitoring: EU Version - December 2022

A&O Shearman on

Our monthly regulatory newsletter monitors all relevant developments regarding European regulatory law in English language. ...more

A&O Shearman

Regulatory monitoring - October 2022

A&O Shearman on

ECB in focus is our blog dedicated to the banking supervisory activities of the European Central Bank (ECB). We report on key developments in European banking regulation led by the ECB as part of the Single Supervisory...more

A&O Shearman

Regulatory monitoring: EU Version - November 2022

A&O Shearman on

Our monthly regulatory newsletter monitors all relevant developments regarding European regulatory law in English language. ...more

A&O Shearman

UK Government Publishes Brexit Freedoms Bill Setting Deadline for Revocation of EU Law

A&O Shearman on

The U.K. Government has published the Retained EU Law (Revocation and Reform) Bill, known as the Brexit Freedoms Bill, which aims to repeal or assimilate retained EU law and abolish the principle of the supremacy of EU law in...more

A&O Shearman

Regulatory monitoring: EU Version - October 2022

A&O Shearman on

Our monthly regulatory newsletter monitors all relevant developments regarding European regulatory law in English language. ...more

A&O Shearman

Regulatory monitoring - September 2022

A&O Shearman on

Our monthly regulatory newsletter monitors all relevant developments regarding German and European regulatory law in English language. ...more

A&O Shearman

Regulatory monitoring: EU Version - August 2022

A&O Shearman on

Our monthly regulatory newsletter monitors all relevant developments regarding European regulatory law in English language. ...more

Goodwin

Stress Test Scenarios Released for 2022

Goodwin on

In This Issue. The Federal Reserve Board of Governors (Federal Reserve), the Office of the Comptroller of the Currency (OCC) and the Federal Deposit Insurance Corporation (FDIC) released stress test scenarios to assess...more

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