European Union

The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of... more +
The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -
News & Analysis as of

ESMA Publishes Discussion Paper on EMIR Standards Relating to CCP Client Accounts

On August 27, the European Securities and Markets Authority (ESMA) published a discussion paper (Discussion Paper) on the review of Article 26 of ESMA’s Regulatory Technical Standards (153/2013) (RTS) under the European...more

PRIIPS – ESMA Publishes Reponses to Consultation on Key Information Document

The European Securities and Markets Authority (ESMA) has published the responses received by ESMA, the European Banking Authority (EBA) and the European Insurance and Occupational Pensions Authority (EIOPA) on the Technical...more

ENISA, European cybersecurity agency, releases 2014 annual activity report

On July 28, the European Union Agency for Network and Information Security (ENISA) published its Annual Activity Report 2014. The report summarises its operations and programs from the previous year, and highlights the areas...more

ESMA Publishes Advice on Extending the Marketing Passport Beyond Europe

ESMA has recommended that the AIFMD passport be extended beyond the countries within the European Union to Jersey, Guernsey, and Switzerland. On 30 July, the European Securities and Markets Authority (ESMA) sent its...more

Financial Regulatory Developments Focus - September 2015

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Coming Soon - Mandatory Clearing of Interest Rate Swaps Under EMIR

On August 6, 2015, the European Commission (EC) adopted new rules that will require the clearing of certain over-the-counter (OTC) interest rate swaps pursuant to the European Market Infrastructure Regulation (EMIR) (the EU...more

[Webinar] How Businesses Can Benefit from the New CANADA / EU Free Trade Agreement - Sept. 17th, 10:00am CST

The Government of Canada and the European Union signed a free trade agreement on September 26th, 2014. Because of its widespread implications and the scope of its implementation, the CANADA / EU Free Trade Agreement...more

Amendment to the Excise Tax Act in Poland – significant changes for your business

The President signed the amendment to the Excise Tax Act . on August 27, 2015. The new regulations shall pass into law on January 1, 2016. Below we present a review of the key amendments which have been introduced...more

Rate Parity Under Attack

Over the last decade, Online Travel Agents (“OTAs”), such as Expedia, Travelocity, and Booking.com, have gained enormous market power. The OTAs have advertising budgets that dwarf those of most hotels, and they benefit from...more

Orrick's Financial Industry Week in Review

ESCB Reports on the Access of CCPs to Central Bank Liquidity Facilities under EMIR - On August 25, 2015, the European Central Bank (ECB) published a report by the European System of Central Banks (ESCB) on the need for...more

ECJ Interprets Rules of Jurisdiction for Cartel Damages Claims

The European Court of Justice (“ECJ”) has recently handed down a landmark judgment in the Hydrogen Peroxide case, confirming that cartel victims may jointly sue cartelists for damages in an EU Member State where only one of...more

European Competition Law Newsletter – September 2015

A self-described “small business” recently succeeded in obtaining an interim injunction (restraining an alleged abuse of dominance) in a UK court against the giant telecom provider Telefónica (trading in the UK under the name...more

Telemedicine or just a gadget for fitness addicts? Mobile Health Apps and the law

Mobile health (mHealth) apps are becoming more and more popular. Back in 2013, more than 97,000 health apps were already on the market. According to the European Commission (EC), this figure now amounts to around 100,000...more

Structured Thoughts: News for the financial services community, Volume 6, Issue 5

OCIE Issues Risk Alert Relating to Structured Note Sales - Earlier this year, the SEC’s Office of Compliance Inspections and Examinations (the “OCIE”) indicated branch offices and structured products as two of its...more

Bridging the Week - August 2015 #5

Charles Schwab Fined US $2 Million by FINRA for Net Capital Deficiencies: Charles Schwab & Co. agreed to pay US $2 million to the Financial Industry Regulatory Authority to resolve allegations that it had net capital...more

Shadow Banking Guidelines – Part 1: An Overview

Shadow banking has been a subject of great interest to financial regulators and policy makers since the global financial crisis. A topic of particular focus has been the interconnectedness between the world of unregulated...more

More fines to come in Germany? Service provider engagements are under increased scrutiny.

Following a significant fine against the parties to an asset acquisition for illegally transferring customer information, the Bavarian Data Protection Supervisory Authority (Bavarian DPA) announced on August, 20, 2015 that it...more

EU Continues to Focus on the Food Supply Chain

The EU food supply chain continues to be the subject of significant political and regulatory focus. Players in the sector at any level should carefully monitor the evolving situation, since there are plenty of opportunities...more

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

Privacy in financial markets, not to be ignored

The Article 29 Working Party published a letter it sent to the European Commission urging it to consider the data protection and privacy issues when adopting the secondary regulations (‘Regulations’) necessary to implement...more

Corporate and Financial Weekly Digest - Volume X, Issue 33

SEC/CORPORATE - SEC Decreases Registration Statement Filing Fees for Fiscal Year 2016 - On August 27, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and...more

First “Right to be Forgotten” enforcement action levied against Google

The U.K. Information Commissioner issued an order to Google this week requiring it to remove nine search results of an individual’s minor criminal offense that was committed close to ten years ago. This is reported to be the...more

EU-Vietnam Trade Deal

The EU and Vietnam have concluded the substantive elements of a Free Trade Agreement (FTA), widely-hailed as one of the most ambitious and comprehensive such agreements that the EU has concluded with a developing country....more

EU consults on the Satellite and Cable Directive

As part of the European Commission's ambitious plan for a Digital Single Market, it proposes to create "a modern, more European copyright law". One of its initiatives is reform of the regulations on the copyright clearing...more

New EU Regulation for Electronic Signatures

The EU has adopted a new regulation, which will introduce a new legal framework for electronic signatures, seals, time stamps and electronic documents. These rules aim at creating a uniform regime across EU for the...more

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