News & Analysis as of

European Markets Infrastructure Regulation European Securities and Markets Authority (ESMA)

Key Regulatory Topics: Weekly Update - 24 November 2017 – 30 November 2017

by Allen & Overy LLP on

BREXIT - European Commission legislative proposal for Regulation on relocation of EBA - On 29 November, the EC adopted a legislative proposal for a Regulation containing amendments to the EBA Regulation (Regulation...more

Asset Management Regulatory Roundup - November 2017 - Issue 11

by Dechert LLP on

A compact summary of the most recent regulatory and tax developments relevant to the UK asset management industry. This issue includes details on ESMA’s updated Q&As on the key information document requirements for PRIIPs;...more

Key Regulatory Topics: Weekly Update - 17 November 2017 – 23 November 2017

by Allen & Overy LLP on

BREXIT - EBA relocation to Paris - On 21 November, the Council of the EU published a press release announcing that the ministers of EU member states other than the UK have selected Paris as the new location of the EBA....more

EU Proposed Guidelines on Position Calculation by a Trade Repository

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published proposed Guidelines on position calculation by trade repositories under the European Market Infrastructure Regulation. EMIR requires that derivatives contracts are...more

US Regulator Warns EU about Proposed Extraterritorial Overreach

by Shearman & Sterling LLP on

The Commodity Futures Trading Commission Chairman J. Christopher Giancarlo has authored an opinion piece in the Wall Street Journal warning of potential consequences if the European Union mishandles Britain's impending exit...more

Key Regulatory Topics: Weekly Update - 20 October 2017 – 26 October 2017

by Allen & Overy LLP on

BREXIT - Brexit – HoC Treasury Committee launches inquiry into UK's economic relationship with the EU - On 20 October, the HoC Treasury Committee launched an inquiry into the UK's economic relationship with the EU. The...more

Key Regulatory Topics: Weekly Update - 6 October 2017 – 12 October 2017

by Allen & Overy LLP on

BREXIT - Uncorrected evidence relating to Brexit from House of Lords Select Committee on European Union - On 12 October, the HoL Select Committee on the EU published an uncorrected transcript of oral evidence taken from...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

The Rise of the ESAs: EU Proposals to Extend Direct Supervision of Financial Markets

by Morrison & Foerster LLP on

On 20 September 2017, the European Commission published a package of measures designed to increase the powers of the three European Supervisory Authorities (ESAs), primarily by transferring certain powers of regulation and...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 - 18 August 2017 - 24 August 2017

by Allen & Overy LLP on

Brexit - Brexit – ISDA position paper on, CCP location and legal uncertainty - On 21 August, ISDA published a position paper on Brexit, CCP location and legal uncertainty. The paper focuses on a possible location...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - CFPB Issues FInal Arbitration Rule - Who Is Covered and How Does It Affect Your Business? The CFPB, after entertaining numerous comments, issued its final arbitration rule on Monday,...more

Key Regulatory Topics: Weekly Update - 7 July 2017 – 13 July 2017

by Allen & Overy LLP on

BREXIT - Brexit - EU (Withdrawal) Bill published - On 13 July, the DExEU published the European Union (Withdrawal) Bill (Bill), which: (i) repeals the ECA 1972; (ii) converts EU law into UK law where appropriate; and...more

Banking, Finance and Insurance Letter - Mai-Juin 2017

Publication du règlement dit « Prospectus » abrogeant la directive Prospectus - Le 30 juin 2017 a été publié au Journal officiel de l’UE le règlement n° 2017/1129 du 14 juin 2017 concernant le prospectus à publier en cas...more

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

by Dechert LLP on

EMIR - New Third Country CCPs Recognised - ESMA updated its list of third-country central counterparties recognised to offer services and activities in the EU on 29 May 2017 – New Zealand Clearing Ltd may now clear. ...more

Reflections upon the proposed amendments to EMIR

by White & Case LLP on

Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories ("EMIR") entered into force on 16 August 2012. Most of the obligations...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

European Commission Proposals for a "Location Policy" and Enhanced Supervision of Third Country CCPs

by Shearman & Sterling LLP on

The European Commission has published legislative proposals to amend the European Market Infrastructure Regulation and the Regulation establishing the European Securities and Markets Authority. The proposals are on the...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - Fee Rate Advisory #3 for Fiscal Year 2017 - On May 31, 2017, the Securities and Exchange Commission ("Commission") announced that starting July 4, 2017, the fee rates applicable to most...more

ESMA Consults on Guidelines on CCP Conflicts of Interest Management Under EMIR

On June 1, 2017, ESMA published a consultation paper (ESMA70-151-291) on guidelines relating to central counterparties (“CCPs“) management of conflicts of interest. ESMA explains that the European Market Infrastructure...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

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

by Dechert LLP on

EMIR - ESMA Updates its List of Third Country CCPs and Issues Updated Q&A - On 30 March, ESMA updated its list of third-country central counterparties recognised to offer services and activities in the EU. CCPs in Dubai,...more

European Securities and Markets Authority Issues Opinion on the Proposed EU Regulation on CCP Recovery and Resolution

by Shearman & Sterling LLP on

The European Securities and Markets Authority has issued an Opinion on the European Commission's proposed EU Regulation on CCP Recovery and Resolution. The proposal gives CCPs' national regulators under the European Market...more

EU Clarification on CCP Portfolio Margining Requirements

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published an Opinion addressed to EU national regulators on the portfolio margining requirements for CCPs under the European Market Infrastructure Regulation. The Regulatory...more

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

by Dechert LLP on

EMIR - European Securities Agencies Issue Statement on EMIR Variation Margin Rules, More Entities Exempt from EMIR and ESMA Re-Affirms Commitment to Co-Operate with Non-EU Regulators on CCPs - On 23 February, the...more

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