News & Analysis as of

Capital Markets Union

Asset Management Regulatory Roundup - November 2017 - Issue 10

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on the amendments to the European Venture Capital and Social Entrepreneurship Fund...more

European Commission Furthers its Initiative on Crowdfunding and Peer-to-Peer Lending Platforms

by Shearman & Sterling LLP on

The European Commission has published an Inception Impact Assessment on the possible introduction of legislation for crowdfunding and peer-to-peer lending. The Inception Impact Assessment discusses the need for the EU to...more

European Parliament to Consider Report on Retail Financial Services

The European Parliament procedure file indicates that the report outlining the European Commission’s action plan on retail financial services will be considered in mid-November. The action plan, published in March 2017,...more

European Commission Outlines Work Program for 2018

The European Commission published a communication on October 24, 2017, which outlined its work program for 2018. The communication included numerous annexes and outlined a number of initiatives which are intended to be the...more

Asset Management Regulatory Roundup - October 2017 - Issue 7

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on ESMA's updated Q&As on the Benchmark Regulation and European Commission delegated...more

Orrick's Financial Industry Week In Review

Texas District Court Rules on Damages Calculations in FDIC’s RMBS Suit Against Goldman Sachs and Deutsche Bank - On September 14, 2017, Judge Sam Sparks of the U.S. District Court for the Western District of Texas granted...more

Capital Markets Union: Commission Proposals to Reform European Financial Supervision Regime

European Commission published proposals to reform the EU’s supervisory structure, including to extend ESMA’s role and powers in respect of prospectuses and market abuse on 20 September 2017. This represents the first concrete...more

Governance & Securities Law Focus: Latin America Edition - August 2017

by Shearman & Sterling LLP on

This newsletter provides a snapshot of the principal US and selected international governance and securities law developments during the second quarter of 2017 that may be of interest to Latin American corporations. Please...more

Governance & Securities Law Focus: Asia Edition - July 2017

by Shearman & Sterling LLP on

In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. Please see...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - FHFA Announces $5.5 Billion Settlement With Royal Bank of Scotland - On July 12, 2017, the Federal Housing Finance Agency ("FHFA"), as conservator of Fannie Mae and Freddie Mac,...more

New EU Prospectus Regulation published

by Dentons on

The EU Prospectus Regulation (the Regulation), which will replace the current Prospectus Directive, has been officially published. A couple of the Regulation's provisions will apply from 20 July 2017, while most of it will...more

European Commission Expert Group on Sustainable Finance Issues Interim Report

On July 13, 2017, the European Commission published the interim report of its high-level expert group (“HLEG“) on sustainable finance. The HLEG was established in October 2016 as one of the initiatives relating to the...more

New EC Guidelines to Improve Non-Financial Information Reporting

by Latham & Watkins LLP on

On 26 June 2017, the European Commission (the EC) published non-binding guidelines on the methodology for reporting non-financial information by certain large companies and groups (the Guidelines) as required by Article 2 of...more

Corporate News - July 2017

by Hogan Lovells on

FCA bans firms' use of restrictive contractual clauses for future primary market services - On 27 June 2017, the Financial Conduct Authority (FCA) published its Policy Statement PS17/13 'Investment and corporate banking:...more

Brussels Regulatory Brief: July

by K&L Gates LLP on

On 10 May 2017, the European Commission (“Commission”) published its final report (“Report”) concluding a wide-ranging two-year long inquiry into e-commerce (“Inquiry”). During the Inquiry – which was conceived as part of the...more

The Financial Report, Volume 6, Number 12

by DLA Piper on

On June 8, the United States House of Representatives passed the Financial CHOICE (Creating Hope and Opportunity for Investors, Consumers and Entrepreneurs) Act of 2017, which would repeal and replace the Dodd-Frank...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - Federal Reserve Board Approves Extended Transition Period for Deutsche Bank AG, SVB Financial Group, and UBS Group AG to Conform Investments in Certain "Illiquid Funds" to Requirements of...more

Covered Bonds: i risultati dell’Impact Study presentato dalla Commissione europea ed il nuovo programma legislativo comunitario

Il 17 maggio 2017 la Commissione europea ha pubblicato lo studio "Covered Bonds in the European Union: harmonisation of legal frameworks and market behaviours". Il report comprende una overview del mercato europeo dei Covered...more

European Commission Adopts Delegated Regulation Amending Solvency II Delegated Regulation On Infrastructure Corporates

On June 8, 2017, the European Commission adopted a Delegated Regulation amending the Solvency II Delegated Regulation ((EU) 2015/35) concerning the calculation of regulatory capital requirements for certain categories of...more

European Commission Mid-Term Review of CMU Action Plan: Financial Services Aspects

On June 8, 2017, the European Commission published a communication on the mid-term review of the capital markets union (“CMU“) action plan (COM(2017) 292). This follows the action plan published by the Commission in September...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - CFTC Launches LabCFTC as Major Fintech Initiative - On May 17, 2017, the Commodity Futures Trading Commission ("CFTC") approved the creation of LabCFTC, which it describes as "a new...more

European Commission to Publish CMU Midterm Review on June 7, 2017

On May 18, 2017, Ugo Bassi, Director of Financial Markets, European Commission DG FISMA, confirmed that the Commission will publish its midterm review of the capital markets union (“CMU“) on June 7, 2017. Mr. Bassi...more

A key to the Capital Markets Union turns slowly

by DLA Piper on

Reviving the largely moribund European securitisation market is key to the European Commission’s ambitious Capital Markets Union which was launched in September 2015. As the European Commission said at the time,...more

European Parliament’s Committee on Economic and Monetary Affairs Publishes Fintech Report

by Latham & Watkins LLP on

On April 28th, the European Parliament’s Committee on Economic and Monetary Affairs (ECON) published a report about Fintech and the influence of technology on the future of the financial sector. The report, prepared by Cora...more

European Commission Consults on Conflicts of Law Rules for Securities Ownership

by Shearman & Sterling LLP on

The European Commission has published a consultation paper on conflicts of law rules for securities ownership, addressing so-called third party effects of transactions in securities and claims. The consultation relates to the...more

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