News & Analysis as of

European Supervisory Authorities (ESAs)

Joint Committee of ESAs Report on Risks and Vulnerabilities in EU Financial System

The Joint Committee of the European Supervisory Authorities (“ESAs“) (that is, the EBA, EIOPA and ESMA) published its spring 2018 report (JC 2018 07) on risks and vulnerabilities in the EU financial system on April 12, 2018....more

Orrick's Financial Industry Week In Review

Federal Court Sends Colorado's Case Against Online Lending Platform Back to State Court - Colorado's ongoing challenge to the bank partnership model of online lending will next play out, at least in part, in state...more

European Supervisory Authorities Issue Final Report on Financial Institutions' Use of Big Data

by Shearman & Sterling LLP on

The Joint Committee of the European Supervisory Authorities has published a final report on the use of Big Data by financial institutions. The Final Report has been prepared following feedback to a discussion paper published...more

ESMA Speech on Brexit, Transaction Cost Transparency and Review of ESAs

On March 21, 2018, the European Securities and Markets Authority (“ESMA“) published a speech by Steven Maijoor, ESMA Chair, on, among other things, supervisory convergence in the context of Brexit, transaction cost...more

Orrick's Financial Industry Week In Review

Home Mortgage Disclosure Act: FFIEC's Revised 'A Guide to HMDA Reporting: Getting It Right!' On March 14, 2018, the Office of the Comptroller of the Currency published an updated resource providing guidance for complying...more

Joint Committee of ESA's Final Report on Use of Big Data by Financial Institutions

On March 15, 2018, the Joint Committee of the European Supervisory Authorities (“ESA“) published its final report, together with a factsheet, on the use of big data by financial institutions (JC/2018/04). Chapter 4 of the...more

The European Securitisation Regulation: The Countdown Continues...

by Jones Day on

Draft Regulatory Technical Standards on Content and Format of the STS Notification - Regulation (EU) 2017/2402, which lays down a general framework for securitisation and creates a specific framework for simple,...more

EC Speech Outlines Goals of FinTech Action Plan

The European Commission (“EC“) published a speech on February 27, 2018 given by Vice President Valdis Dombrovskis, European Commissioner for Financial Stability, Financial Services and Capital Markets Union (“CMU“), which...more

ESMA Speech on Measured Approach to FinTech

The European Securities and Markets Authority (“ESMA“) published a speech by ESMA Chair Steven Maijoor on taking a measured approach to Financial Technology (“FinTech“) on February 27, 2018. Mr. Maijoor explained that...more

EC Publishes Communication on FinTech Action Plan

On March 8, 2018, the European Commission (“EC“) published a communication (COM(2018) 109 final) setting out its FinTech action plan, which includes measures to create a more competitive and innovative European financial...more

Brussels Regulatory Brief: March 2018

by K&L Gates LLP on

Antitrust and Competition - Another transaction in the technology sector referred to the European Commission for its review - The European Commission (“Commission”) is yet again set to review a transaction in the technology...more

The European Securitisation Regulation: The Countdown has Begun....

by Jones Day on

Draft Technical Standards Published for Consultation by the European Supervisory Authorities—An Update and Overview - Regulation (EU) 2017/2402, which is known as the "Securitisation Regulation" and lays down a general...more

New Solutions in the CDD Process Published by the Joint Committee of ESAs

The Joint Committee of the European Supervisory Authorities (“ESAs“) published an opinion on January 23, 2018 about the use of innovative solutions in customer due diligence (“CDD“) for financial institutions....more

European Supervisory Authorities Publish Final Draft Technical Standards Amending Margin Requirements for Non-Centrally Cleared...

by Shearman & Sterling LLP on

The Joint Committee of the European Supervisory Authorities has published a final report containing final draft Regulatory Technical Standards amending the requirements for risk-mitigation techniques for uncleared OTC...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

Asset Management Regulatory Roundup - December 2017 - Issue 12

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 of the FCA’s stance on the reporting of cyber attacks; the Government’s opinion on...more

Regulation Round Up - November 2017

by Proskauer Rose LLP on

3 November - The Financial Conduct Authority (FCA) published an alert setting out key considerations for principals who have appointed representatives or introducer appointed representatives. Among other things, the alert...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

An Update on the Regulation on Key Information Documents for Packaged Retail and Insurance-Based Investment: Key Points for EU and...

by Dechert LLP on

In addition to the challenges of MiFID II, asset managers must also prepare for a new key information document regime for retail products. The Regulation on key information documents for packaged retail and insurance-based...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

Asset Management Regulatory Roundup - November 2017 - Issue 9

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 SEC’s no action letters and Commission’s FAQs on “hard dollar” research payments under...more

Outsourcing and Delegation – EU Commission Proposes Powers of Intervention

by Morgan Lewis on

Aware of the risks of regulatory arbitrage developing post-Brexit, a key feature of the Commission’s proposals allows ESAs to monitor the practices of EU27 regulators....more

EU Proposals to Strengthen the Powers of the European Supervisory Authorities

by Shearman & Sterling LLP on

On 20 September 2017, the European Commission made proposals to strengthen the regulatory and supervisory powers of the three European Supervisory Agencies (ESAs) namely the European Securities and Markets Authority (ESMA),...more

Orrick's Financial Industry Week In Review

CFTC Comparability Determination on EU Margin Requirements and a Common Approach on Trading Venues - On October 13, 2017, the U.S. Commodity Futures Trading Commission ("CFTC") announced determinations by the CFTC and the...more

European Commission Request to ESAS to Issue Recurrent Reports on Cost and Performance of the Main Categories of Pension,...

On October 17, 2017, the European Commission published a request to the European Supervisory Authorities (“ESAs“) to issue recurrent reports on the past performance and cost of the main categories of insurance, pension and...more

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Cybersecurity

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