Supervision

News & Analysis as of

European Supervisory Authorities Report on Risks and Vulnerabilities in the EU Financial System

The European Banking Authority, European Securities and Markets Authority and European Insurance and Occupational Pensions Authority (known as the Joint Committee of the European Supervisory Authorities) published a report...more

FTC Staff Provides Antitrust Guidance to State Medical Boards

Until recently, actions by state medical boards, operating pursuant to a state legislative mandate, were generally thought to be insulated from federal antitrust scrutiny by virtue of the state-action exemption. That changed,...more

European Banking Authority Publishes Annual Assessment of EU Supervisory Colleges

The European Banking Authority published its report on the functioning of supervisory colleges in 2015. The report sets out the EBA's annual assessment of how well the supervisory colleges have met the action plan for 2015....more

ESMA Publishes First Supervisory Convergence Work Programme

On February 11, the European Securities and Markets Authority (ESMA) published its first Supervisory Convergence Work Programme for 2016 (SCWP). The SCWP supplements ESMA’s 2016 Annual Work Programme and sets out the...more

FTC Again Urges Consideration of Competitive Impact on State Regulation of APRNs

The Federal Trade Commission (FTC) submitted written comments last week on the likely competitive impact of a legislative proposal in West Virginia to modify the supervision requirements imposed on Advanced Practice...more

EU-US Agreement on Regulation of Central Counterparties

On 10 February 2016, the European Commission and the CFTC announced a common approach regarding supervision of central counterparties operating in the US and EU, paving the way for cross-border equivalence and recognition...more

FTC Supports Easing Dental Hygienist Restrictions, Increasing Access to Underserved

The Federal Trade Commission (FTC or Commission) released a statement on January 29 in support of a Georgia state bill that would further relax supervision requirements for dental hygienists. The proposed bill would expand...more

CFTC and German Regulators Sign Memorandum of Understanding

The Commodity Futures Trading Commission, German regulators Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) and Deutsche Bundesbank (Bundesbank) have entered into a memorandum of understanding (MOU) related to the...more

Corporate and Financial Weekly Digest - Volume XI, Issue 4

SEC/CORPORATE - Crowdfunding Portals Can Now Register With the SEC - As discussed in the November 6, 2015 edition of the Corporate and Financial Weekly Digest, on October 30, 2015, the Securities and Exchange...more

No Federal Antitrust Immunity for Actions by State Regulatory Boards Controlled by Market Participants without Active State...

The United States has a strong tradition of professional self-regulation, particularly in the learned professions. States frequently delegate regulatory authority to state boards largely comprised of professionals actively...more

UK Financial Regulatory Developments - January 2016 #10

Treasury updates Iran sanctions - Treasury has issued a notice explaining the effects on sanctions against Iran of Implementation Day (I Day) under the Joint Comprehensive Plan of Action (JCPoA). I Day was 16 January, on...more

Financial Regulatory Developments Focus - January 2016 #2

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

FINRA Releases 2016 Regulatory and Examination Priorities Letter

On Jan. 5, 2016, the Financial Industry Regulatory Authority (“FINRA”) issued its annual Regulatory and Examination Priorities Letter (“2016 Examination Letter” or “Letter”), along with a press release from FINRA chairman and...more

ESMA publishes MAD supervision follow-up

ESMA has published a report following up on its peer review of supervisory practices under the Market Abuse Directive (MAD). The report includes assessments of the practices of the authorities in Bulgaria, Iceland,...more

ECB Publishes Its SSM Supervisory Priorities for 2016

On January 6, the European Central Bank (“ECB”) published a paper setting out its supervisory priorities in relation to the banks it supervises under the Single Supervisory Mechanism (“SSM”). The ECB’s supervisory priorities...more

FINRA’s 2016 Regulatory and Examination Priorities

On January 5, the Financial Industry Regulatory Authority released its Regulatory Examination Priorities Letter, which identified its three main areas of focus for the year: (1) Culture, Conflicts of Interest and Ethics; (2)...more

What Does Good Compliance Look Like?

At a corporate summit, the CEO of a Fortune 500 company started his talk by asking “what does good look like?” Good question. “Rules often inspire legalism and minimalism,” he said. “But they don’t govern behavior.” He...more

FINRA’s 2016 Examination Priorities Identifies New Initiatives on Market Integrity and Firm Culture and Further Concern on...

The recently issued 2016 Regulatory and Examination Priorities Letter discloses FINRA’s new initiatives on market integrity and firm culture and reflects a focus on firms’ supervision regarding conflicts of interest and...more

FINRA’s 2016 Priorities Letter: Objective and Subjective Issues

2016 has arrived and, with the new year, FINRA has published its agenda of key examination priorities. This year’s 13-page Regulatory and Examination Priorities Letter sets forth both long-standing and new items for firms to...more

New Laws Extends Moratorium on CAH Direct Supervision Requirement Enforcement

On December 18, 2015, President Obama signed into law S. 1461, which provides an additional one-year extension (through 2015) of the current enforcement moratorium on supervision requirements for outpatient therapeutic...more

The Office of the Comptroller Provides Updated Guidance for Risk Assessment System

On December 3, 2015, the Office of the Comptroller of the Currency (“OCC”) provided updated guidance for its risk assessment system (“RAS”). The guidance (i) clarifies the relationship between RAS and the Uniform Financial...more

Congress Clears CAH Direct Supervision Legislation

On December 8, 2015, the House of Representatives approved S. 1461, which would provide a one-year extension (through 2015) of the enforcement moratorium on supervision requirements for outpatient therapeutic services in...more

ECB speaks on banking supervision

Daniele Nouy has spoken on the first year of European banking supervision and what lies ahead. She reported unprecedented progress and cooperation, and said not only the supervision, but also necessary follow up, had been...more

CME Group Issues Notice Related to Employee Supervision

On November 2, CME Group issued Market Regulation Advisory Notice RA1517-5 (Notice) related to the supervision of employees and agents conducting business on the CME Group Exchanges. The Notice reminds Exchange members that...more

FTC Gives Mixed Review of South Carolina’s Nurse Supervision Proposal

The Federal Trade Commission (FTC or Commission) submitted written comments on November 2nd to South Carolina’s state legislature on the competitive impact of proposals to modify the supervision requirements for advanced...more

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