News & Analysis as of

European Banking Authority (EBA) Final Rules

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on CFTC Approves Final and Proposed Rules on Rulemaking and Capital...

BROKER-DEALER - SEC Issues Guidance on Substituted Compliance Applications by Non-US Security-Based Swap Dealers and Major Security-Based Swap Participants - On November 25, the Securities and Exchange Commission’s...more

A&O Shearman

European Banking Authority Publishes Guidelines on Technology and Security Risk Management

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The European Banking Authority has published its final guidelines on the management of information and communication technology and security risks by financial institutions in the EU. The Guidelines set out how financial...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

Financial Industry Developments - Class Action Against Lending Club and WebBank Headed to Defeat - On Monday, January 31, 2017, a federal district court in the Southern District of New York granted a motion to...more

A&O Shearman

European Banking Authority Publishes Final Guidelines on Remuneration Policies for Retail Banking Sales Staff

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The European Banking Authority published final Guidelines on compensation policies and practices related to the sale and provision of retail banking products and services...more

A&O Shearman

EU Final Legislation on Requirements for Firms to Hold Information on Financial Contracts

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A Commission Delegated Regulation outlining Regulatory Technical Standards specifying the information on financial contracts that a firm may be required to maintain was published in the Official Journal of the European...more

A&O Shearman

European Supervisory Authorities Opines on Final Draft Technical Standards on Uncleared Derivatives

A&O Shearman on

The Joint Committee of the European Supervisory Authorities published an Opinion on the European Commission's proposed amendments to the final draft Regulatory Technical Standards on risk mitigation techniques for uncleared...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

SEC Proposes to Amend Rules Governing Its Administrative Proceedings - On September 24, the U.S. Securities and Exchange Commission (the "SEC") proposed to amend rules governing its administrative proceedings. Key...more

Orrick - Finance 20/20

EBA Publishes Final Draft Technical Standards and Guidelines for G-SIIs

Orrick - Finance 20/20 on

On June 5, the European Banking Authority (EBA) published final draft regulatory technical standards (RTS) and implementing technical standards (ITS) relating to global systemically important institutions (G-SIIs). ...more

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