News & Analysis as of September 23, 2024

European Securities and Markets Authority (ESMA)

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The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

EU and UK Sign Memorandum of Understanding on Financial Services Cooperation

A&O Shearman on 7/12/2023

On June 27, 2023, the EU and U.K. signed a Memorandum of Understanding on Financial Services Cooperation, a high-level agreement on future cooperation in the regulation of financial services. The MoU provides for - -...more

Upcoming Regulatory Initiatives Impacting Private Fund Managers - September 2022

Dechert LLP on 9/22/2022

This latest edition of the regulatory initiatives paper sets out at a high level the core regulatory issues that are likely to impact private fund managers in the coming months, including an overview of the key actions needed...more

Regulation Round Up - January 2022

Proskauer Rose LLP on 2/3/2022

Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. ...more

Crowdfunding Regulation: Major Reform in the EU, No Change in the UK

Skadden, Arps, Slate, Meagher & Flom LLP on 4/22/2021

Although crowdfunding has existed in various forms since the late 1990s, the global financial crisis in 2008 accelerated the trend of channelling consumer and business lending through crowdfunding platforms. This mode of...more

Private Bank Briefing – March 2021

Latham & Watkins LLP on 4/1/2021

ESMA reminds firms on rules of reverse solicitation - In a statement published on 13 January 2021, ESMA reminded firms not established or situated in the EU of the MiFID II requirements on the provision of investment...more

Key Regulatory Topics: Weekly Update 19 - 25 March 2021

A&O Shearman on 4/1/2021

HoL EU Services Sub-Committee report on trade in services On 24 March, the HoL European Union Committee published a new report on UK-EU trade in services. The report concludes that despite the agreement of the Trade and...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC launches new website page on ESG investing and UK FCA launches new...

Katten Muchin Rosenman LLP on 3/29/2021

BROKER-DEALER - SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act - On March 24, the Securities and Exchange Commission adopted interim final amendments to implement...more

Operational resilience regulatory framework in Europe

Hogan Lovells on 3/25/2021

In recent years, operational resilience has come under the spotlight of financial regulators globally, leading to a proliferation of new regulation. The sheer number of publications on this topic can be confusing for...more

Brexit: Is the Clock Still Ticking for Asset Managers?

K&L Gates LLP on 3/17/2021

INTRODUCTION - On 24 December 2020, Michael Barnier, the European Union’s chief negotiator said, “The clock is no longer ticking”. Four and a half years after the Brexit referendum, the United Kingdom and the European Union...more

Brexit and derivatives transactions – some practical perspectives

Hogan Lovells on 3/12/2021

EU and UK derivatives counterparties are now having to grapple with different sets of rules in the EU and the UK when trading derivatives with each other, following the end of the Brexit transition period on 31 December 2020....more

International Capital Markets Newsletter - March 2021 - Issue 3: Recent UK and EU Capital Markets Developments

Dechert LLP on 3/9/2021

A flurry of changes to stock exchange rules and capital markets regulation and practice have been introduced following the end of the Brexit transition period in the UK on 31 December 2020, as well as new initiatives launched...more

Key Regulatory Topics: Weekly Update February 2021 #2

A&O Shearman on 3/5/2021

Brexit - Please see the Other Developments section for the MoU agreed between the ECB, FCA and BoE on post-Brexit supervisory cooperation, effective from 1 January....more

Navigable Challenges for Private Funds

Skadden, Arps, Slate, Meagher & Flom LLP on 3/3/2021

The negotiations that culminated in the establishment of the Trade and Cooperation Agreement (TCA) at the end of 2020 concluded with no meaningful agreement in relation to the provision of financial services between the...more

Banking and finance regulatory news, March 2021

Hogan Lovells on 3/1/2021

Resolvability Assessment Framework: BoE Dear CEO letter The Bank of England (BoE) has published a letter sent by Dave Ramsden, BoE Deputy Governor for Markets and Banking, to the CEOs of the eight UK banks in the scope of the...more

UK Regulation post-Brexit - Adjusting to the landscape for UK equity capital market participants

A&O Shearman on 2/2/2021

With the EU and the UK having reached a free trade agreement which sets out a framework for the substantial agreements to be put in place to govern their future relationship and the UK having left the single market and the...more

Financial institutions general regulatory news, January 2021

Hogan Lovells on 1/18/2021

UK-EU trade and cooperation agreement After extensive negotiations, and within a week of the Brexit transition period ending on 31 - December 2020, the UK and the EU finally announced on 24 December 2020 that they had agreed...more

Regulation Round Up - December 2020

Proskauer Rose LLP on 1/11/2021

31 December - The Brexit Transitional Period (pursuant to which the UK stayed in the Single Market and European Customs Union came to an end. The FCA updated its Brexit webpages to remind firms of the potential impact...more

ESMA and the FCA Extend the Temporary 0.1% Net Short Position Reporting Threshold

Akin Gump Strauss Hauer & Feld LLP on 12/28/2020

In response to the unprecedented circumstances caused by the COVID-19 pandemic, the EU and the UK temporarily lowered the reporting threshold under the EU Short Selling Regulation (“EU SSR”) for net short positions in shares...more

The Share Trading Obligations – A New Year’s Mess

BCLP on 12/23/2020

Diverging approaches to Share Trading Obligations from the FCA and ESMA pose challenges for investment firms in a post-Brexit Europe. With 1 January 2021 creeping closer and the hope of securing an effective Brexit deal...more

Key Regulatory Topics: Weekly Update 4 - 10 December 2020

A&O Shearman on 12/22/2020

FCA Brexit FAQs – firms preparing for the end of the transition period On 9 December, the FCA published a Brexit FAQs in respect of firms preparing for the end of the transition period, covering: (i) the TPR; (ii)...more

Key Regulatory Topics: Weekly Update 27 November to 3 December 2020

A&O Shearman on 12/22/2020

Bank Recovery and Resolution (Amendment) (EU Exit) Regulations 2020 - On 3 December, the Bank Recovery and Resolution (Amendment) (EU Exit) Regulations 2020 were published, together with an explanatory memorandum. The...more

Private Bank Briefing: Issues Impacting the Private Bank Sector - December 2020

Latham & Watkins LLP on 12/8/2020

Ahead of the end of the Brexit transition period, on 31 December 2020, regulators in the UK and the EU have issued a number of updates: Share trading obligation - In relation to the potential conflict between the share...more

Corporate & Financial Weekly Digest, Featuring Articles on NASDAQ Seeks Approval of Board Diversity Rule with SEC, CFTC's Timing...

Katten Muchin Rosenman LLP on 12/7/2020

SEC/CORPORATE - SEC Adopts Amendments to MD&A and Other Financial Disclosures - On November 19, the Securities and Exchange Commission announced that it adopted amendments (the Amendments) to certain financial...more

Securities and markets regulatory news, November 2020 # 4

Hogan Lovells on 11/30/2020

Recent regulatory developments of interest to financial institutions and markets. Includes updates from the UK FCA, the European Supervisory Authorities and IOSCO, among others. Recent regulatory developments of interest to...more

Corporate Governance and Securities Law Update: Latin America Edition, November 2020

A&O Shearman on 11/19/2020

This newsletter provides a snapshot of the principal U.S. and selected international governance and securities law developments during the third quarter of 2020 that may be of interest to Latin American corporations and...more

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