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Dechert LLP

UK Government Proceeds with Comprehensive Regulatory Regime for Cryptoassets

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The definition of a “cryptoasset” is unchanged from the February Consultation. The cryptoasset activities that will come into scope of the new regime are unchanged from those in the February Consultation, with amendments...more

Proskauer Rose LLP

SEC Adopts New Securities Lending Reporting Rule

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On October 13, 2023, the Securities and Exchange Commission (the “SEC”) adopted new Rule 10c-1a (the “Securities Lending Rule”), requiring the reporting of certain securities lending transactions. Certain material terms of...more

Proskauer Rose LLP

Regulation Round Up - June 2023

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MiFIR / MiFID II: The European Parliament published a press release announcing it has reached provisional political agreement with the Council of the EU on the proposed amendments to the Markets in Financial Instruments...more

Proskauer Rose LLP

Regulation Round Up - October 2021

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The Financial Stability Board published its final report on the lessons learnt from the COVID-19 pandemic from a financial stability perspective. The Financial Conduct Authority (“FCA”) published a report on climate change...more

A&O Shearman

Key Regulatory Topics: Weekly Update 9 - 15 July 2021

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This week, among other highlights, Committee on Payments and Market Infrastructures, BIS Innovation Hub, International Monetary Fund and the World Bank issued a joint report for the G20 on the use of Central Bank Digital...more

Hogan Lovells

Securities and markets regulatory news, June 2021

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DvP clients: FCA and PRA Dear CRO letter on counterparty credit exposure management and controls - The UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have published a letter to chief risk...more

Hogan Lovells

Securities and markets regulatory news, May 2021 # 3

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UK EMIR: BoE consults on modifications to DTO to reflect interest rate benchmark reform - The Bank of England (BoE) has published a consultation paper setting out its proposal to modify the scope of contracts that are...more

Hogan Lovells

Securities and markets regulatory news, April 2021 # 3

Hogan Lovells on

Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 - The Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 (SI 2021/494) have been published, together...more

Hogan Lovells

Securities and markets regulatory news, April 2021 # 2

Hogan Lovells on

UK SFTR: FCA update on reporting LEIs - The Financial Conduct Authority (FCA) has updated its webpage on the retained EU law version of the Regulation on reporting and transparency of securities financing transactions ...more

Hogan Lovells

Securities and markets regulatory news, March 2021 # 5

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UK MiFIR: FCA update on use of TTP to modify DTO - The Financial Conduct Authority (FCA) has published an update on the use of its temporary transitional power (TTP) to modify the UK's derivatives trading obligation (DTO). ...more

Hogan Lovells

Securities and markets regulatory news, March 2021 # 3

Hogan Lovells on

UK Emissions Trading Scheme: Revised draft Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 - A revised draft version of the Recognised Auction Platforms (Amendment and Miscellaneous...more

Hogan Lovells

Brexit and derivatives transactions – some practical perspectives

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EU and UK derivatives counterparties are now having to grapple with different sets of rules in the EU and the UK when trading derivatives with each other, following the end of the Brexit transition period on 31 December 2020....more

Hogan Lovells

Securities and markets regulatory news, February 2021 # 2

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Brexit: Draft Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 - A draft version of the Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 has been...more

Dechert LLP

Upcoming Regulatory Initiatives Impacting Private Fund Managers - January 2021

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1. ESG In recent years, environmental, social and governance (ESG) factors have become a key discussion point in the asset management industry, with many managers now incorporating ESG considerations into their investment...more

Hogan Lovells

Securities and markets regulatory news, November 2020 # 4

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Recent regulatory developments of interest to financial institutions and markets. Includes updates from the UK FCA, the European Supervisory Authorities and IOSCO, among others.  Recent regulatory developments of interest to...more

Hogan Lovells

Securities and markets regulatory news, November 2020 # 2

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EMIR: ESMA report on post-trade risk reduction services - The European Securities and Markets Authority (ESMA) has published a report on post-trade risk reduction (PTRR) services under the European Market Infrastructure...more

Hogan Lovells

Securities and markets regulatory news, November 2020

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ISDA 2020 IBOR Fallbacks Protocol - The International Swaps and Derivatives Association, Inc. (ISDA) has published the ISDA 2020 IBOR Fallbacks Protocol. Our separate client alert, ISDA 2020 IBOR Fallbacks Protocol: What...more

Hogan Lovells

Securities and markets regulatory news, July 2020 #3

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EMIR: FCA revises breach notification form - The UK Financial Conduct Authority (FCA) has published a revised version of its form for reporting errors or omissions in their trade reports under Article 9 of the European...more

Hogan Lovells

Securities and markets regulatory news, June 2020 #4

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Recent regulatory developments of interest to financial institutions and markets. Includes updates relating to Brexit, EMIR and more....more

Dechert LLP

EMIR Alert: Refit Reporting Changes Go Live

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18 June 2020 will mark one year since the EMIR Refit Regulation (the “EMIR Refit”) came into force. On the same date, the reporting responsibility changes introduced by the EMIR Refit will take effect....more

Hogan Lovells

Securities and markets regulatory news, March 2020 #3

Hogan Lovells on

A draft version of the Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment etc and Transitional Provision) (EU Exit) Regulations 2020 has been published, together with an explanatory...more

K&L Gates LLP

COVID-19: The United Kingdom’s Response to COVID-19: A Quick Guide for Global Investment Managers

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The recent outbreak of the new coronavirus (“COVID-19”) has triggered a blizzard of actions from governments and regulators around the world. We recognize that it is very difficult to keep track of it all, and here, we offer...more

A&O Shearman

COVID-19: EU Regulatory Forbearance for Banks and Investment Firms for Reporting Securities Financing Transactions

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The European Securities and Markets Authority has published a public statement on steps it is taking to mitigate the impact of the coronavirus (COVID-19) on the EU financial markets. ESMA is granting regulatory forbearance...more

A&O Shearman

COVID-19: ESMA Delays New Reporting Regime for Repos, Securities Lending and Buy Backs for EU Banks and Investment

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The European Securities and Markets Authority (ESMA) has announced regulatory forbearance for banks and investment firms subject to the upcoming reporting obligation under the Securities Financing Transaction Regulation...more

Hogan Lovells

Securities and markets regulatory news, March 2020

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The Financial Conduct Authority (FCA) has published a call for input (CFI) on the use and value of data and advanced analytics in wholesale financial markets, now and in the future. ...more

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