News & Analysis as of

European Commission

MiFID II, Research and Extraterritoriality: The SEC, European Commission and FCA Solution

by Shearman & Sterling LLP on

On October 26, 2017, the US Securities and Exchange Commission, European Commission and the UK Financial Conduct Authority released, in a coordinated manner, a series of significant orders and guidance to address some of the...more

Presentations and Report Posted for Conference on Standardization for Nanotechnologies and Nanomaterials

by Bergeson & Campbell, P.C. on

In October 2017, the presentations and report for the June 20, 2017, Second European Conference on “Standardization for Nanotechnologies and Nanomaterials: Reliable data for an effective management of nanomaterials” were...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

National security reviews 2017: A global perspective — European Union

by White & Case LLP on

European investment screening "light" — first steps towards European investment controls - Due to the significant increase of foreign direct investment into European technology assets over the past 18 months, particularly...more

The Foreign Investment Regulation Review Edition 5 – EU Overview

by Hogan Lovells on

THE EU PLANS TO START REVIEWING FOREIGN INVESTMENTS: A MODEST AMBITION? The past months have witnessed intense discussions at European and national level on the need to review foreign investment flows in sensitive sectors....more

Orrick's Financial Industry Week In Review

European Commission Inception Impact Assessment on Legislative Proposal for EU Framework on Crowdfunding - On October 30, 2017, the European Commission published an inception impact assessment for a legislative proposal...more

SEC Issues No-Action Letters to Ease U.S. and MiFID II Compliance; EC Issues Guidance on MiFID II Advisers’ Receipt of Research...

by Ropes & Gray LLP on

On October 26, 2017, the SEC staff issued three no-action letters to, respectively, the Investment Company Institute (the “ICI Letter”), the Securities Industry and Financial Markets Association’s Asset Management Group (the...more

EU General Court orders fresh review of Liberty Global/Ziggo merger

by Dechert LLP on

The EU lower court has overturned a 2014 merger clearance by the European Commission (EC) following an appeal by a third party. Overturning the clearance does not mean that the deal is now prohibited. Instead, the case...more

EIOPA Final Report on First Set of Technical Advice on Solvency II Delegated Regulation

On October 31, 2017, EIOPA published a document containing the first set of advice to the European Commission on specific items in the Solvency II Delegated Regulation ((EU) 2015/35) (EIOPAA-BoS-17/280). The advice covers...more

European Commission Inception Impact Assessment on Legislative Proposal for EU Framework on Crowdfunding

On October 30, 2017, the European Commission published an inception impact assessment for a legislative proposal for an EU framework on crowd and peer-to-peer finance. In the impact assessment, the Commission sets out...more

Belgian Retail Newsletter

by McGuireWoods LLP on

European Parliament wants harmonized franchising legislation 7 NOVEMBER 2017 - In September 2017, the European Parliament passed a resolution on the functioning of franchising in the European retail sector. This...more

DSM Watch: Leaked Compromise Proposal by JURI on the Draft Regulation on Online Transmissions and Retransmissions by Broadcasters

by Hogan Lovells on

Not long ago, we reported on the Committee on Legal Affairs’ (JURI) decision to temporarily postpone its final vote on the new Copyright Directive (COM(2016) 593). We also pointed to some other copyright-related initiatives...more

Blockchain Energizer – Volume 16

by K&L Gates LLP on

There is a lot of buzz around blockchain technology and its potential to revolutionize a wide range of industries from finance and health care to real estate and supply chain management. Reports estimate that over $1.4...more

We Want Privacy by Default in E-commerce, Says the European Parliament

by K&L Gates LLP on

On 10 January 2017, the European Commission (‘Commission’) presented a proposal for a Regulation on Privacy and Electronic Communication (‘ePrivacy Proposal’). The main objective behind the proposed act is to align the...more

Orrick's Financial Industry Week In Review

OFR Issues Report Challenging Standard for Identifying Systematically Important Banks - On October 26, 2017, the Office of Financial Research ("OFR"), an arm of the Treasury Department, issued a Report of its Director that...more

EU Technical Standards on Acquisitions of Qualifying Holdings in Investment Firms Published

by Shearman & Sterling LLP on

A Commission Delegated Regulation with Regulatory Technical Standards on the information requirements for notification by a proposed acquirer of its proposed acquisition of a qualifying holding of an investment firm under the...more

European Commission Furthers its Initiative on Crowdfunding and Peer-to-Peer Lending Platforms

by Shearman & Sterling LLP on

The European Commission has published an Inception Impact Assessment on the possible introduction of legislation for crowdfunding and peer-to-peer lending. The Inception Impact Assessment discusses the need for the EU to...more

Brussels Regulatory Brief: October

by K&L Gates LLP on

On 6 September 2017, the Court of Justice, the European Union (“EU”)’s highest court, issued its much awaited decision in a case of abuse of dominance by a US microchip manufacturer using exclusivity or loyalty rebates, i.e....more

European Commission Publishes Guidance on MiFiD II Inducements and Research Reforms

On October 26, 2017, the European Commission issued a list of FAQs in an attempt to clarify the obligations of EU investment firms in relation to brokerage and research services which are located in non-EU...more

First Annual Review and the Privacy Shield is Still Standing: What’s Next?

by McGuireWoods LLP on

On October 18, 2017, the European Commission issued its report on the first annual review of the EU- U.S. Privacy Shield, aimed at allowing personal data transfer from the EU to the U.S. through the implementation of a data...more

European Commission Releases Privacy Shield Annual Report

by Morgan Lewis on

In a positive development for companies relying on transatlantic data transfers, the European Commission (the Commission) recently announced that one year into the program, the EU-US Privacy Shield framework is functioning as...more

Privacy & Cybersecurity Update - October 2017

In this month's edition of our Privacy & Cybersecurity Update, we examine the European Commission's annual review of the Privacy Shield, a potential threat to the European Union's "standard contractual clauses," a push by...more

European Commission Recommendations on Further Mitigating Risks related to Securities Financing Transactions

by Shearman & Sterling LLP on

The European Commission has published a Report on the progress made internationally to mitigate risks associated with Securities Financing Transactions and recommendations, if any, for the EU to develop its regulatory...more

European Competition Law Newsletter – November 2017

by McGuireWoods LLP on

Risks of Information-Sharing at a Single Meeting - On 6 October 2017, the UK Competition Appeal Tribunal (CAT) provided a reminder that competing companies risk infringing competition law if they exchange commercially...more

European Parliament to Consider Report on Retail Financial Services

The European Parliament procedure file indicates that the report outlining the European Commission’s action plan on retail financial services will be considered in mid-November. The action plan, published in March 2017,...more

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