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European Union › Legal Entity Identifiers

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 -
A&O Shearman

Financial Stability Board Assesses Legal Entity Identifier Implementation

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The Financial Stability Board has published a thematic review on the implementation of the Legal Entity Identifier. An LEI is a unique identifier of entities that engage in financial transactions. It is intended that such an...more

Proskauer Rose LLP

Regulation Round Up - August 2018

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1 August - The Financial Conduct Authority ("FCA") published a statement on selling high-risk speculative investment products to retail clients, following the publication of the European Securities and Markets Authority's...more

A&O Shearman

Financial Stability Board Consults on Implementation of the Legal Entity Identifier

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The Financial Stability Board has launched a thematic peer review on implementation of the Legal Entity Identifier and is inviting feedback on implementation of the LEI at the same time. The objective of the LEI system is for...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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MIFID II – end of “no LEI” exemption for transaction reporting; ESMA takes stock of MiFID II achievements - ESMA confirmed on 20 June that the current exemption from using Legal Entity Identifiers for certain transactions...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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European banking and securities authorities published guidelines on the assessment of the suitability of members of the management body and key function holders - ESMA and EBA published joint guidelines regarding the...more

A&O Shearman

European Securities and Markets Authority and UK Financial Conduct Authority End Concessionary Period for Legal Entity Identifier...

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The European Securities and Markets Authority has published a statement on the requirements under the Markets in Financial Instruments Regulation for a Legal Entity Identifier. In response to concerns that institutions would...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Topics on SEC/Corporate, CFTC, Derivatives, Brexit and EU Developments

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SEC/CORPORATE - SEC Division of Corporation Finance Issues C&DIs on Proxy Rules and Proxy Statements, Overhauling Telephone Interpretations Manual - On May 11, the staff of the Division of Corporation Finance of the...more

Pillsbury Winthrop Shaw Pittman LLP

Registered Firms: Annual Compliance Obligations—What You Need To Know

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This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular...more

A&O Shearman

European Securities and Markets Authority Issues Statement on Introduction of the Legal Entity Identifier Requirements Under the...

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The European Securities and Markets Authority has published a statement in response to indications that not all investment firms will succeed in obtaining Legal Entity Identifier codes from all their clients that are legal...more

Jones Day

AIM Companies and the Legal Entity Identifier Requirement, European Capital Markets Update

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The London Stock Exchange published AIM Notice 47 ("Notice") on 13 October 2017 in respect of the requirement that all AIM companies with securities admitted to trading on AIM obtain a Legal Entity Identifier ("LEI") code. It...more

Proskauer Rose LLP

Regulation Round Up - November 2017

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3 November - The Financial Conduct Authority (FCA) published an alert setting out key considerations for principals who have appointed representatives or introducer appointed representatives. Among other things, the alert...more

Dechert LLP

Asset Management Regulatory Roundup - November 2017 - Issue 11

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A compact summary of the most recent regulatory and tax developments relevant to the UK asset management industry. This issue includes details on ESMA’s updated Q&As on the key information document requirements for PRIIPs;...more

Hogan Lovells

Corporate News - November 2017

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A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law. ...more

Orrick, Herrington & Sutcliffe LLP

Legal Entity Identifiers under MiFID II

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From 3 January 2018 all legal entities (no matter where they are based or incorporated) involved in buying, selling or issuing financial instruments on EU regulated markets, multilateral trading facilities or organised...more

Proskauer Rose LLP

Regulation Round Up - September 2017

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1 September - The Prudential Regulation Authority (PRA) updated its April 2017 public disclosure with Template A (Disclosure of Aggregate Statistical Data with regard to Insurance and Reinsurance Undertakings) and Template...more

Dechert LLP

Application of the European Market Infrastructure Regulation to Alternative Investment Fund Managers

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European investment managers of non-UCITs funds will have to be authorised as an alternative investment fund manager (known as an “AIFM” under AIFMD) under the Alternative Investment Fund Managers Directive (“AIFMD”) from 22...more

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