News & Analysis as of

CRD IV Directive

European Banking Authority Final Guidelines on Internal Governance Under the Capital Requirements Directive

by Shearman & Sterling LLP on

The European Banking Authority has published a compliance notification form on its website, seeking confirmation, by May 21, 2018, of compliance (or intention to comply) with the Final Guidelines on Internal Governance it...more

Key Regulatory Topics: Weekly Update (23 Feb - 1 March 2018)

by Allen & Overy LLP on

BREXIT - UK Government response to HoC Treasury Committee report on transitional arrangements - On 27 February, the HoC Treasury Committee published the UK government's response to the Committee's report on transitional...more

Financial Regulatory Observer - February 2018: EU banking supervision: What to expect in 2018

by White & Case LLP on

2018 will be a year of change, challenges and opportunities for banks and financial services providers.   Stay current on your favorite topics The UK's impending exit from the EU may well result in another adjustment of the...more

UK Regulator Warns Firms to Improve Prudential Reporting

by Shearman & Sterling LLP on

The UK Financial Conduct Authority has published a new "Dear CEO" letter that it has sent to the Chief Executive Officers of certain firms for which it acts as prudential regulator....more

European Banking Authority Reiterates Concerns over Commission’s Proposed Approach to EU Capital Requirements Regulatory Perimeter...

by Shearman & Sterling LLP on

The European Banking Authority has published a letter, dated February 9, 2018, from the EBA Chairperson, Andrea Enria, to Olivier Guersent, Director-General of DG-FISMA at the European Commission, relating to the regulatory...more

Revised prudential framework for investment firms

by Allen & Overy LLP on

On 20 December 2017, the European Commission published proposals to revise the framework for the prudential regulation of investment firms. The proposals were anticipated and are an attempt to “ensure that investment firms...more

Orrick's Financial Industry Week In Review

SEC Announces the Formation and First Members of Fixed Income Market Structure Advisory Committee - On November 9, 2017, the Securities and Exchange Commission ("SEC") announced the formation and first members of its Fixed...more

European Banking Authority Publishes Opinion on Regulatory Perimeter Issues under the EU Capital Requirements Framework

by Shearman & Sterling LLP on

The European Banking Authority has published an Opinion and a Report on financial intermediaries and regulatory perimeter issues under the Capital Requirements Regulation and the Capital Requirements Directive. The Opinion...more

EBA Opinion on Nonbank Financial Intermediaries and Regulatory Perimeter Issues Under CRD IV and CRR

On November 9, 2017, the European Banking Authority (“EBA“) published an own-initiative opinion (EBA/Op/2017/13) addressed to the European Parliament, the Council of the EU and the European Commission on nonbank financial...more

Key Regulatory Topics: Weekly Update - 3 November 2017 – 9 November 2017

by Allen & Overy LLP on

Allen & Overy publish weekly updates on key regulatory topics affecting the financial services sector. If you would like to receive this update by email please contact RegulatoryChange@allenovery.com. BREXIT - HoL EU...more

European Banking Authority Finalizes Guidelines on Designating EU Branches as Significant-Plus Branches

by Shearman & Sterling LLP on

The European Banking Authority has published a final Report and final Guidelines on the supervision of significant branches. The Capital Requirements Directive and the Bank Recovery and Resolution Directive provide the EU...more

First Steps on Proposed Revisions to the EU Prudential Framework for Investment Firms

by Shearman & Sterling LLP on

The European Banking Authority has published an Opinion on the design of a new EU prudential framework for non-bank, non-systemically important investment firms. The EBA published a report in December 2015 in response to a...more

First Steps on Proposed Revisions to the EU Prudential Framework for Investment Firms

by Shearman & Sterling LLP on

The European Banking Authority has published an Opinion on the design of a new EU prudential framework for non-bank, non-systemically important investment firms. The EBA published a report in December 2015 in response to a...more

Key Regulatory Topics: Weekly Update - 22 September 2017 – 28 September 2017

by Allen & Overy LLP on

CAPITAL MARKETS AND MARKET INFRASTRUCTURE - ESMA practical guidance on recognition of third country CSDs - On 28 September 2017, ESMA published practical guidance (dated 26 September 2017) on the recognition by it of...more

Potential regulatory and transactional impacts for financial institutions

by Dentons on

On 29 March 2017 the UK Government triggered Article 50 of the Treaty on European Union, giving notice to European Council of the EU of its intention to leave the EU and triggering a two year period of withdrawal...more

Basel III Monitoring Exercise Report Published

The European Banking Authority (“EBA“) published a report on September 12, 2017, which outlined the results of a monitoring exercise on Basel III and the impact of the CRD IV Directive and Capital Requirements...more

Summary of key EU and U.S. regulatory developments relating to securitization transactions

by Hogan Lovells on

Numerous regulatory developments were enacted or proposed in the United States and the European Union in response to the financial crisis. Although some of the proposed changes are still in the process of being adopted or...more

Orrick's Financial Industry Week In Review

CFPB Issues Final Rule Temporarily Raising Reporting Threshold for Home Equity Loans Under Home Mortgage Act Rules - On August 24, 2017, the Consumer Financial Protection Bureau (the "CFPB") issued a new rule that amends...more

European Commission Implementing Regulation Amending Implementing Regulation 2016/2070 Published in the OJ

The European Commission Implementing Regulation amending Implementing Regulation 2016/2070 in relation to benchmarking portfolios and reporting instructions under the CRD IV Directive (2013/36/EU) (Regulation 2017/1486) was...more

Key Regulatory Topics: Weekly Update - 25 August 2017 - 31 August 2017

by Allen & Overy LLP on

FMLC publishes letter sent to the MoJ on the EU (Withdrawal) Bill 2017 - On 31 August, the FMLC published a letter to the MoJ following their email (dated 14 July) seeking comments on the EU (Withdrawal) Bill 2017. The...more

Key Regulatory Topics: Weekly Update - 14 July 2017 – 20 July 2017

by Allen & Overy LLP on

BREXIT - CRDV IV – EBA final draft RTS and ITS on authorisation of credit institutions - On 14 July, the EBA published a report setting out the following final draft technical standards: (i) Final draft RTS on the...more

Luxembourg: CSSF Circular 17/658 - Compliance with the European Banking Authority’s Guidelines on Sound Remuneration Policies

by Dentons on

On 16 June 2017, the Luxembourg Financial Regulator (Commission de Surveillance du Secteur Financier – CSSF) issued Circular 17/658 addressed to credit institutions and CRR investment firms on the compliance with the European...more

Regulation Round Up - May 2017

by Proskauer Rose LLP on

2 May - The FCA published its Policy Statement on the FCA's disclosure rules following application of PRIIPs Regulation (PS17/6). The Policy Statement sets out how the FCA's disclosure requirements will change to reflect...more

EMEA Regulatory Capital Chart: Essential features of bank capital regulation across Europe in one handy wall chart.

by White & Case LLP on

Regulatory capital requirements for prudentially supervised financial services companies across Europe are complex and changing rapidly. To keep track of the regulatory framework in the region, we have brought together the...more

EBA Final Guidelines on ICT Risk Assessment Under Supervisory Review and Evaluation Process

On May 11, 2017, the EBA published a report (EBA/GL/2017/05) containing its final guidelines on information and communication technology (“ICT“) risk assessment under the supervisory review and evaluation process (“SREP“)...more

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