News & Analysis as of

European Markets Infrastructure Regulation

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

by Dechert LLP on

AIFMD - Updated MoUs - ESMA updated its table of EEA regulators on 15 March with who has signed MoUs with non-EEA regulators, for the purposes of cross-border marketing of AIFs. Slovenia and Croatia are still to sign up...more

Allen & Overy's weekly update on Key Regulatory Topics - 23 March 2018 - 28 March 2018

by Allen & Overy LLP on

BREXIT - Please see the Prudential Regulation section for updates on: (i) the record of the FPC meeting held on 12 March; and (ii) HMT’s recently published letter on the EC’s proposed package of reforms in relation to BRRD...more

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

by Dechert LLP on

AMF Public Consultation on ICOs - The AMF launched a public consultation on Initial Coin Offerings (ICOs) on 26 October 2017 in order to assess how these fundraisings could be regulated. Out of the three regulatory options...more

Allen & Overy's weekly update on Key Regulatory Topics - 16 March 2018 - 22 March 2018

by Allen & Overy LLP on

BREXIT - ESMA publishes speech on supervisory convergence post Brexit - On 21 March, ESMA published a speech by Steven Maijoor, ESMA Chair, on supervisory convergence in the context of Brexit, transaction cost...more

The European Securitisation Regulation: The Countdown Continues ESMA Consultation Paper—Draft Technical Standards on...

by Jones Day on

Regulation (EU) 2017/2402 laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation ("Regulation") came into force on 18 January 2018 and will...more

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

by Dechert LLP on

MiFID II – Member State Transposition and Updated Q&A on Market Transparency - The European Commission updated its webpage on 13 February 2018 setting out member state transposition of MiFID II....more

Over-the-counter derivatives in South Africa

by Dentons on

The European Markets and Infrastructure Regulations (EMIR) is a body of European Union law which came into force on 16 August 2012. During the G20 Summit held in 2009 following the 2008 financial crisis, G20 leaders agreed...more

Key Regulatory Topics: Weekly Update - 9 February 2018 - 15 February 2018

by Allen & Overy LLP on

Insurance Europe publishes papers on avoiding Brexit cliff-edge risks - On 9 February, Insurance Europe published a paper calling for an agreement between the UK and the EU on the transitional arrangements that should...more

Asset Management Regulatory Roundup - February 2018 - Issue 4

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details of an FCA report on algorithmic trading; the publication of the FSMA (Benchmarks)...more

European Securities and Markets Authority Issues Final Guidelines on CCP Conflicts Management

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published a Final Report setting out Guidelines for compliance, by central counterparties authorized under the European Market Infrastructure Regulation, with their...more

ESMA 2018 Regulatory Work Program

On February 8, the European Securities and Markets Authority (“ESMA”) published its 2018 regulatory work program, which provides a detailed breakdown of the individual work streams outlined in the 2018 work program. The areas...more

Key Regulatory Topics: Weekly Update - 2 February 2018 – 8 February 2018

by Allen & Overy LLP on

BREXIT - EC publishes notices on consequences of Brexit on banking and finance sectors - On 8 February, the EC published a new webpage containing a number of notices setting out the consequences of Brexit on banking and...more

Results of EU-Wide CCP Stress Test 2017 Published

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published a report setting out the results of its second EU-wide CCP stress test exercise. The European Market Infrastructure Regulation requires ESMA to conduct the exercise...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, Antitrust, and UK/Brexit/EU Developments

BROKER-DEALER - FINRA Proposes Rule Change To Provide Additional Hearing Options for Parties in Certain Arbitrations - On January 30, the Financial Industry Regulatory Authority filed a proposed rule change with the...more

2018: Business As (Un)usual – European Financial & Regulatory Developments into 2018

2017 in the UK and the rest of Europe seems to have been primarily a year devoted to implementation – both of political decisions already made and of legislation that had already been enacted. On the political front, Brexit...more

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

by Dechert LLP on

MiFID II – ESMA issues updated Q&As on transparency and market structures and investor protection and intermediaries topics - ESMA updated its Q&As on 18 December 2017 on MiFID II Q&As on transparency and market...more

Overview of the Recent EU Adoption of Common Rules and Framework for Securitization Transactions in Europe

As part of the Capital Markets Union action plan announced in September 2015, the European Parliament and the Council issued on Dec. 12, 2017, the regulation laying down a general framework for securitization and creating a...more

AFME Publishes Paper on Brexit Cliff-Edge Risks in Wholesale Financial Services

On January 22, 2018, the Association for Financial Markets in Europe (“AFME“) published a paper on cliff-edge risks in wholesale financial services resulting from Brexit. It defined a ‘cliff edge risk’ as one that is likely...more

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

by Dechert LLP on

New edition of UCITS and AIFMD Q&As published by the Central Bank - The Central Bank recently published the 28th edition of AIFMD Q&A on the 2 January 2018. A number of new questions have been answered regarding the PRIIPS...more

In Principle: 10 Things Authorised Firms Need to Know for 2018 – The World of Financial Regulation as the UK Prepares to Exit the...

There is much for authorised firms to consider in the year ahead. Firms have been through the intensive period of the enactment of the second Markets in Financial Instruments Directive (MiFID II), but must now step up their...more

Proposed EU Guidelines on CCP Requirement for Anti-Procyclicality Margin Measures

by Shearman & Sterling LLP on

The European Securities and Markets Authority is consulting on proposed guidelines for national regulators of CCPs on the application of the rules requiring CCPs to adopt anti-procyclicality margin measures....more

Orrick's Financial Industry Week In Review

CFTC Approves Amendments to Rules on Intermediary Registration and Review of Adverse Actions - On January 9, 2018, the U.S. Commodity Futures Trading Commission (the "CFTC") approved final rules that update Parts 3 and 9...more

ESMA Publishes Consultation Paper Containing Draft Guidelines on Anti-Procyclicality Margin Measures for Central Counterparties...

On January 8, 2018, the European Securities and Markets Authority (“ESMA“) published a consultation paper containing draft guidelines on anti-procyclicality margin measures for central counterparties (“CCPs“)...more

Key Regulatory Topics: Weekly Update - 15 December 2017 – 21 December 2017

by Allen & Overy LLP on

BREXIT - CBI Brexit guide to EU bodies and regulators: financial services aspects - On 21 December, the CBI published a guide to the EU bodies and regulators that matter to business in the Brexit negotiations, including...more

The European Supervisory Authorities (ESAs) publish final draft technical standards amending margin requirements for...

by Dechert LLP on

The ESAs published their co-authored draft Regulatory Technical Standards (RTS) on the 19 December 2017, amending the framework of the European Market Infrastructure Regulation (EMIR) in relation to physically settled foreign...more

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Cybersecurity

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