News & Analysis as of

IOSCO European Union

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

by Dechert LLP on

New Central Bank Investment Firms Regulations 2017 - The Central Bank published the Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) (Investment Firms) Regulations 2017 on 13 March 2017. The new...more

Funds Bulletin - February 2017

by Hogan Lovells on

Funds Bulletin (a monthly round-up of topical legal, regulatory and tax issues affecting the fund industry). Features our summary of the FSCP's position paper on the impact of Brexit on financial services consumers, as well...more

Regulators Prepare for Innovation in Distributed Ledger Technology

by Reed Smith on

Regulators across the globe are considering how existing regulations may accommodate the development of new distributed ledger technologies (“DLT”) (also known as “blockchain”). In just the first two months of 2017, the U.S....more

ESAs and IOSCO Publish Statements on Variation of Margin Exchange under EMIR

On February 23, 2017, the Joint Committee of European Supervisory Authorities (“ESAs“) published a statement on variation margin exchange under the EMIR regulatory technical standards (“RTS“) on risk mitigation techniques for...more

Regulators Issue Guidance on Approach to Non-compliance with the Impending Variation of Margin Exchange Requirement

by Shearman & Sterling LLP on

The European Supervisory Authorities, the Financial Conduct Authority, the US prudential regulators, including the Federal Reserve Board and the Office of the Comptroller of the Currency, and the International Organization of...more

"Regulators Provide Some Flexibility on the Swaps Variation Margin Compliance Deadline"

On February 23, 2017, U.S. federal banking regulators (Prudential Regulators), European regulators and the International Organization of Securities Commissions (IOSCO) issued statements clarifying their expectations on...more

International Organization of Securities Commissions Publishes FinTech Research Report

by Shearman & Sterling LLP on

The International Organization of Securities Commissions published a research Report on financial technologies, or FinTech – innovative business models and emerging technologies that have the potential to transform the...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

Corporate and Financial Weekly Digest - Volume XII, Issue 4

SEC Updates to Form PF FAQs - On January 18, the Securities and Exchange Commission’s Division of Investment Management updated its Form PF FAQs. Registered investment advisers managing private funds with at least $150...more

European Margin Rules for Non-cleared OTC Derivatives – The Margin Big Bang

by White & Case LLP on

After a six-month delay, the rules governing the mandatory posting of collateral for uncleared derivatives entered into force on 4 January 2017. By 1 March 2017, all in-scope counterparties will be obliged to post variation...more

Financial Stability Board Publishes Final Recommendations to Address Structural Vulnerabilities from Asset Management Activities

by Shearman & Sterling LLP on

The Financial Stability Board published a report on policy recommendations to address structural vulnerabilities from asset management activities. The FSB recommendations aim to address four structural vulnerabilities from...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

by Dechert LLP on

ALFI Response to IOSCO Consultation Report on Good Practices for the Termination of Investment Funds - ALFI responded to the IOSCO Consultation Report on Good Practices for the Termination of Investment Funds which...more

International Organization of Securities Commissions Consults on Other Products and Services Offered by Credit Rating Agencies

by Shearman & Sterling LLP on

The International Organization of Securities Commissions published a consultation paper on the use of non-traditional products or services offered by credit rating agencies. ...more

Progress Report on Implementation of Global Securities Reforms

by Shearman & Sterling LLP on

The International Organization of Securities Commissions published a report on the implementation of global securities reforms. The report sets out the progress made by jurisdictions in implementing changes in securities...more

The Financial Report, Volume 5, Number 20 - October 2016

by DLA Piper on

With the general election now less than two weeks away, it is more apparent than ever that Americans often are sharply divided about how best to achieve certain goals, even if we agree on the goals we are trying to achieve....more

Corporate and Financial Weekly Digest - Volume XI, Issue 37

CFTC To Host Roundtable on Recent CPMI-IOSCO Guidance - The Commodity Futures Trading Commission will host a roundtable on October 6 to gather feedback in relation to a report on central counterparty resilience and...more

International Consultation on Good Practices for Fees and Expenses Collective for Investment Schemes 

by Shearman & Sterling LLP on

The International Organization of Securities Commissions published a final report outlining good practices on fees and expenses for collective investment schemes. The report is aimed only at CISs whose shares or units are...more

Corporate and Financial Weekly Digest - Volume XI, Issue 34

SEC/CORPORATE - SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 - On August 31, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and...more

International Consultation on Good Practices for the Termination of Investment Funds

by Shearman & Sterling LLP on

The International Organization of Securities Commissions published a report outlining a proposed set of good practices on the voluntary termination of investment funds. The decision to terminate an investment fund can have a...more

UK Financial Regulatory Developments - July 2016 #1

by Dentons on

ISDA advocates unity for margin timetable - ISDA has considered the implementation schedule for a coordinated global margining framework for non-cleared derivatives. Under the agreed timetable, implementation is to be...more

Setting the New Benchmark: EU Regulation on Financial Benchmarks

by Morrison & Foerster LLP on

Background - The integrity of benchmarks used in financial transactions has been the subject of increasing focus from regulators since the investigations into manipulation of the setting of LIBOR, EURIBOR and other...more

The Financial Report - Volume 5, No. 11 • June 2016 (Global)

by DLA Piper on

Discussion and Analysis - A few years ago, David Blass, then Chief Counsel of the SEC’s Division of Trading and Markets, created a stir when he said in a speech that private fund advisers should be concerned about some...more

UK Financial Regulatory Developments - May 2016 #11

by Dentons on

The Law Society responds to ESMA’s EU MAR consultation - The Law Society has published the Law Society and City of London Law Society Company Law Committees Joint Market Abuse Working Party’s response to ESMA’s...more

UK Financial Regulatory Developments - May 2016 #6

by Dentons on

Industry associations agree cyber principles - ISDA, the European Banking Federation and the Global Financial Markets Association have published a set of common principles they hope will encourage effective global policy...more

Industry Associations Publish Principles on International Cyber Security, Data and Technology

by Shearman & Sterling LLP on

Several industry associations jointly published a paper titled International Cybersecurity, Data and Technology Principles and urged the Financial Stability Board and the International Organization of Securities Commissions...more

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Cybersecurity

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