News & Analysis as of

IOSCO MiFID II

Proskauer Rose LLP

Regulation Round Up - April 2024

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Financial Markets Infrastructure: The Bank of England published a speech by Sasha Mills, Executive Director, Financial Market Infrastructure, on operational resilience and its expectations of financial market infrastructures...more

Goodwin

Horizon Scan for Private Investment Funds: Key Recent and Expected Funds, Regulatory, and Tax Developments to Look Out For

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Welcome to the third edition of our Horizon Scan, where we focus on some of the principal recent and expected developments and changes that we expect to be of interest to those in the private funds and investment management...more

A&O Shearman

Key Regulatory Topics: Weekly Update 26 Feb - 4 Mar 2021

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Brexit - FCA provides information on the Temporary Permissions Regime (TPR) On 3 March, the FCA published new webpages providing information on the TPR. Firstly, the FCA published a webpage on how it will supervise firms...more

A&O Shearman

International Organization of Securities Commissions Publishes Guidance on Conflicts of Interest in Debt Capital Raising

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The International Organization of Securities Commissions has published guidance on how to address potential conflicts of interest and associated conduct risks for intermediaries involved in the issuance of debt securities....more

Proskauer Rose LLP

Regulation Round Up - June 2020

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30 June - The Financial Conduct Authority (“FCA”) announced that the deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons will be delayed from 9...more

Latham & Watkins LLP

MiFID’s Transparency Rules: ESMA Confirms Equivalence of Numerous Non-EU Venues

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Implications for users of third-country trading venues as ESMA confirms the list of venues who meet the criteria in its updated opinions on transparency and position limits. On 3 June 2020, ESMA published updated versions...more

A&O Shearman

Key Regulatory Topics: Weekly Update 13 December 2019 - 19 December 2019

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CAPITAL MARKETS - Please see Conduct for an update on the IOSCO report on conflicts of interests and risks during the debt capital raising process - FCA publish Primary Market Bulletin - On 17 December 2019, the FCA...more

A&O Shearman

Financial Stability Board Publishes Report on Progress of Over-The-Counter Derivatives Market Reforms #2

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The Financial Stability Board has published a report on the progress its member jurisdictions have made in 2019 on the implementation of agreed G20 reforms to over-the-counter derivatives markets. The report finds that there...more

A&O Shearman

Financial Stability Board Publishes Report on Progress of Over-The-Counter Derivatives Market Reforms

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The Financial Stability Board has published a report on the progress its member jurisdictions have made in implementing the agreed G20 reforms to over-the-counter derivatives markets in 2018. The report finds that good...more

A&O Shearman

Key Regulatory Topics: Weekly Update 12 July 2019 - 18 July 2019

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BREXIT - EEA Joint Committee Decisions - On 18 July, four Decisions of the EEA Joint Committee made on 29 March and five Decisions made on 11 April that amend Annex IX (Financial Services) to the EEA Agreement were...more

Proskauer Rose LLP

Regulation Round Up - June 2019

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1 June - HM Treasury published a consultation paper (dated May 2019) on the regulation of pre-paid funeral plans. HM Treasury intends to bring all funeral plan providers within the remit of the FCA....more

Latham & Watkins LLP

Private Bank Briefing: Issues Impacting the Private Bank Sector - June 2019

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The FCA and the PRA published their Business Plans for 2019/20 in April 2019. FCA Priorities - As expected, with Brexit remaining a key focus, there are few new initiatives for this year. The FCA’s Business Plan sets...more

Proskauer Rose LLP

Regulation Round Up - May 2019

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1 May - The Financial Conduct Authority ("FCA") published a call for input on its evaluation of the Retail Distribution Review and Financial Advice Markets Review. The Prudential Regulation Authority ("PRA") published...more

Proskauer Rose LLP

Regulation Round Up - November 2018

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2 November - The Prudential Regulation Authority ("PRA") updated its consultation paper on changes to the PRA Rulebook and onshored binding technical standards. The Financial Conduct Authority ("FCA") published issue...more

A&O Shearman

Key Regulatory Topics: Weekly Update, 3-9 August 2018

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BREXIT - Draft Short Selling (Amendment) (EU Exit) Regulations 2018 - On 9 August, HMT published a draft version of the Short Selling (Amendment) (EU Exit) Regulations 2018 and an explanatory information document....more

A&O Shearman

Allen & Overy's weekly update on Key Regulatory Topics - 15 June - 21 June 2018

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BREXIT - TheCityUK paper on continuity of cross-border financial contracts post-Brexit - On 20 June, TheCityUK published a paper on the continuity of cross-border financial contracts post-Brexit. In the paper, TheCityUK...more

K&L Gates LLP

Brussels Regulatory Brief: June 2018

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Antitrust and Competition - Gun jumping attracts increased scrutiny by the European Commission - The European Commission continues its scrutiny against breaches of the procedural obligations in the framework of the EU merger...more

A&O Shearman

Allen & Overy's weekly update on Key Regulatory Topics - 6 April 2018 – 12 April 2018

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BREXIT - Please see the “Other” section for an update on the Joint Committee of ESAs’ report on the risks and vulnerabilities in EU financial system. CBI publishes report on the future of UK regulation On 11 April,...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Topics on Broker/Dealer and UK/EU Developments

BROKER-DEALER - Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits - The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to...more

Proskauer Rose LLP

Regulation Round Up - February 2018

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1 February - The European Commission ("EC") launched the EU Blockchain Observatory and Forum in order to highlight key developments of blockchain technology, promote and reinforce European engagement with multiple...more

Dechert LLP

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

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AMF Study on Fees Charged in 2015 by UCITS Distributed in France - The Autorité des Marchés Financiers (the French financial regulator, AMF) conducted a study based on the fees disclosed in the KIID distributed to...more

A&O Shearman

Key Regulatory Topics: Weekly Update - 16 February 2018 - 22 February 2018

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BREXIT - AFME FAQs on wholesale financial services contracts - On 19 February, AFME published a set of FAQs on how wholesale financial services contracts might be impacted by Brexit. The FAQs address operational impacts...more

A&O Shearman

Key Regulatory Topics: Weekly Update - 9 February 2018 - 15 February 2018

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Insurance Europe publishes papers on avoiding Brexit cliff-edge risks - On 9 February, Insurance Europe published a paper calling for an agreement between the UK and the EU on the transitional arrangements that should...more

Dechert LLP

Asset Management Regulatory Roundup - February 2018 - Issue 4

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A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details of an FCA report on algorithmic trading; the publication of the FSMA (Benchmarks)...more

A&O Shearman

Key Regulatory Topics: Weekly Update 12 January – 18 January 2018

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BREXIT - HoL EU Financial Affairs sub-committee publishes transcript of BoE oral evidence on financial supervision - On 17 January, the HoL EU Financial Affairs Sub-Committee published the transcript of the oral...more

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