News & Analysis as of

Investment Firms Financial Institutions

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

Pagefreezer

Website & Social Media Archiving to Comply with FINRA Books & Records Rules

Pagefreezer on

Investment firms and other financial institutions are subject to the strict recordkeeping and communication regulations laid out by both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange...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

Morgan Lewis - Tech & Sourcing

Luxembourg’s Financial Services Regulator Enhances ICT Incident Reporting Framework

New ICT incident reporting requirements under Circular 24/847 (Circular) of the Commission de Surveillance du Secteur Financier (CSSF), Luxembourg’s financial regulator, will come into effect on April 1. This introduces a new...more

Brownstein Hyatt Farber Schreck

State AGs and ESG: Political Whiplash for Policymakers and Investment Managers

After years of financial and investment firms solidifying their Environmental, Social and Governance (ESG) bona fides, the political push-and-pull surrounding “woke” investing seems to be causing a significant withdrawal from...more

A&O Shearman

Regulatory monitoring: EU version - December 2023

A&O Shearman on

1. Bank regulation - 1.1 Prudential regulation - (a) General - (i) EU - EBA: Roadmap on strengthening the Prudential framework - Status: Final - The EBA has published its roadmap on the Banking Package, which...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

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

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

UK Ancillary Activities Test On Track For Simplification From 2025

A&O Shearman on

The Financial Services and Markets Act 2000 (Commodity Derivatives and Emission Allowances) Order 2023 was made on May 17, 2023. The Order, which enters into force on January 1, 2025, paves the way for the Financial Conduct...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

Hogan Lovells

Central Bank of Ireland publishes Dear CEO letter to payments industry

Hogan Lovells on

On 20 January 2023, the Central Bank of Ireland (CBI) published a Dear CEO letter to the payments industry (Letter) detailing its findings from recent industry engagement. The Letter sets out certain required actions for...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

Hogan Lovells

Central Bank of Ireland Dear CEO letter - consumer protection in challenging economic times

Hogan Lovells on

The Central Bank of Ireland has issued a Dear CEO letter to all Irish regulated financial services providers reminding them of their consumer protection obligations in the context of the challenging economic outlook....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

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