News & Analysis as of

BaFin European Union

A&O Shearman

Regulatory monitoring - August 2024

A&O Shearman on

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) EU - EBA: Opinion on measures in accordance with Article 458 CRR following a notification by the De Nederlandsche Bank - Status: Final - The EBA has...more

A&O Shearman

Regulatory monitoring - July 2024

A&O Shearman on

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) International - BCBS: Consultation on report regarding various technical amendments and FAQs - Status: Consultation - Deadline for the submission of...more

Skadden, Arps, Slate, Meagher & Flom LLP

The EU’s Digital Operational Resilience Act (DORA) – 2024 Update

As implementation of the EU’s Digital Operational Resilience Act (DORA) approaches, financial market participants and their technology service providers (both in and out of Europe) face a critical compliance deadline. The new...more

McDermott Will & Emery

Update für Kryptowerte-Dienstleister: Referentenentwurf zur Überführung nationaler Krypto-Regulierung in das MiCAR-Regime

McDermott Will & Emery on

Das Bundesministerium der Finanzen (BMF) hat am 5. April 2024 einen Referentenentwurf für zwei Rechtsverordnungen veröffentlicht, die den Übergang der nationalen Krypto-Regulierung in das europäische MiCAR-Regime erleichtern...more

McDermott Will & Emery

PFOF Verbot

McDermott Will & Emery on

Die Bundesanstalt für Finanzdienstleistungsaufsicht („BaFin“) wird zunächst nicht gegen die Bezahlung von Wertpapierfirmen durch Dritte für die Weiterleitung von Kunden-Aufträgen (sog. Payment for Order flow („PFOF“))...more

McDermott Will & Emery

Erlaubnispflicht für Kreditdienstleister – Dienstleistungen für Non-Performing-Loans sind jetzt erlaubnispflichtig

McDermott Will & Emery on

Mit dem Inkrafttreten des Kreditzweitmarktgesetzes am 30. Dezember 2023 sind Dienstleistungen in Bezug auf sogenannte Non-Performing-Loans, also Kredite, die nicht mehr bedient werden oder vom Ausfall bedroht sind,...more

King & Spalding

ELTIF 2 Chancen und Defizite

King & Spalding on

BaFin veröffentlicht einen FAQ zur überarbeiteten ELTIF-Verordnung - Am 1. Februar 2024 hat die Bundesanstalt für Finanzdienstleistungs­aufsicht (BaFin) ein FAQ zur am 10. Januar 2024 in Kraft getretenen, überarbeiteten...more

McDermott Will & Emery

ESG, Homeoffice und Immobilien – BaFin veröffentlicht 7. MaRisk-Novelle

Die Bundesanstalt für Finanzdienstleistungsaufsicht („BaFin“) hat am 29. Juni 2023 die siebte Novelle der Mindestanforderungen an das Risikomanagement der Banken („MaRisk“) veröffentlicht. Die MaRisk kodifizieren die...more

A&O Shearman

Regulatory monitoring - June 2023

A&O Shearman on

ECB in focus is our blog dedicated to the banking supervisory activities of the European Central Bank (ECB). We report on key developments in European banking regulation led by the ECB as part of the Single Supervisory...more

Morgan Lewis

Germany’s Financing for the Future Act: Draft Bill Published

Morgan Lewis on

The draft bill for Germany’s Financing for the Future Act (Zukunftsfinanzierungsgesetz - ZuFinG) was published on April 12, 2023. The planned modernization measures are intended to strengthen the performance of the German...more

Dechert LLP

BaFin publishes a new consultation draft of the Investment Firm Remuneration Ordinance (Wertpapierinstuts-Vergütungsverordnung –...

Dechert LLP on

The Investment Firms Regulation (Regulation (EU) 2019/2033) (the IFR) and the Investment Firm Directive (Directive (EU) 2019/2034) (the IFD) established a prudential framework for investment firms that are authorised under...more

Hogan Lovells

ESG Update – Recent developments in the area of financial sustainability regulation

Hogan Lovells on

This publication provides an overview of the latest developments in the area of financial sustainability regulation, in particular on the German Federal Financial Supervisory Authority’s conference on sustainable finance, its...more

White & Case LLP

Global Investigations Review: Basic Anatomy of Enforcement Investigations in Europe

White & Case LLP on

Securities laws across France, Germany and the United Kingdom are widely comparable. Each country recognises the importance of maintaining a strong procedural framework of regulation and enforcement. The EU Market Abuse...more

A&O Shearman

Germany's new coalition agreement: Change is afoot for the financial services industry?

A&O Shearman on

The three political parties set to form the next German government published a coalition agreement on 24 November. Its part on the German and European financial market in most respects seems to indicate only modest changes to...more

A&O Shearman

Regulatory Monitoring - relevant developments regarding German and European regulatory law (UPDATED)

A&O Shearman on

Our monthly regulatory newsletter monitors all relevant developments regarding German and European regulatory law in English language. ...more

A&O Shearman

Regulatory Monitoring - relevant developments regarding German and European regulatory law (UPDATED)

A&O Shearman on

Our monthly regulatory newsletter monitors all relevant developments regarding German and European regulatory law in English language. ...more

Jones Day

German Regulator Combats Greenwashing by Proposing Guidelines on "Sustainable" Investment Funds

Jones Day on

The German Federal Financial Supervisory Authority ("BaFin") has published a consultation on draft guidelines for sustainable investment funds containing specifications on what UCITS and AIF management companies must include...more

Hogan Lovells

Significant restrictions for share exchange offers under German takeover law

Hogan Lovells on

Under German takeover law the bidder in a voluntary public takeover is given two options with regard to what the bidder offers the shareholders of the target company as compensation for their shares. ...more

Morgan Lewis

Germany’s New Financial Market Integrity Strengthening Act

Morgan Lewis on

The Financial Market Integrity Strengthening Act includes a large number of innovations aimed at strengthening confidence in the German financial market by placing more comprehensive obligations on auditors when auditing...more

Thomas Fox - Compliance Evangelist

The Fourth Estate and Wirecard

It is one thing to wake up and find yourself as the lead story on a Sunday morning when the New York Times (NYT) runs a corruption story about your organization above the fold. It is quite another when the world’s top...more

Morrison & Foerster LLP

Update Capital Market Law: Amendment Of The Voting Rights Notification Ordinance Effective July 1, 2020 - Electronic Voting Rights...

The Federal Financial Supervisory Authority (BaFin) has recently confirmed the date for the change to the Voting Rights Notification Ordinance (StimmRMV) to come into force. Voting rights notifications can only be sent to...more

White & Case LLP

Short selling bans and market restrictions – Considerations for investors (Updated June 2020)

White & Case LLP on

A number of regulators across the globe responded to recent market volatility by introducing temporary short selling bans and/or market restrictions. Such bans have since expired as of 18 May 2020. Other regulators (including...more

Latham & Watkins LLP

EU Regulators Outline Approach to Remote Working During COVID-19 Crisis

Latham & Watkins LLP on

ESMA, BaFin, and FCA have provided guidelines on firms’ obligation to record client telephone calls. Remote working raises uncertainties in various regulated areas as it dramatically changes institutions’ day-to-day...more

Akin Gump Strauss Hauer & Feld LLP

BaFin Confirms Which Euro Indices Can Be Traded

BaFin, the German financial regulator, issued on 19 March 2002 a clarification statement confirming that the recent prohibitions on establishing and increasing net short positions imposed by the European Union regulatory...more

Dechert LLP

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

Dechert LLP on

No-deal Brexit preparations: BaFin criticizes financial entities for missing Brexit preparation with regard to license requirements - As of March 2019, Germany's Federal Financial Supervisory Authority BaFin (Bundesanstalt...more

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