News & Analysis as of

Exchange-Traded Products European Union

Hogan Lovells

Securities and markets regulatory news, July 2020 #2

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Recent regulatory developments of interest to financial institutions and markets. Includes updates on MiFIR open access regime for trading and clearing ETDs and various ESMA Q&A updated....more

Robins Kaplan LLP

Financial Daily Dose 10.29.2019 | Top Story: AT&T Reaches Accord with Elliott Management to End Activist Challenge

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AT&T announced yesterday that it’s resolved an ongoing battle with activist Paul Singer and his Elliott Management by agreeing to keep CEO Randall Stephenson on the job through “at least 2020,” with the chair and CEO roles to...more

Perkins Coie

Blockchain Week in Review - September 2019

Perkins Coie on

U.S. Developments - VanEck and SolidX to Offer Bitcoin ETF to Qualified Institutional Buyers - On September 3, 2019, VanEck Securities Corp. and SolidX Management LLC announced that they are seeking to use Rule 144A of...more

Latham & Watkins LLP

Latest UK Developments on the Regulation of Cryptoassets

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FCA finalises guidance on cryptoassets and consults on product intervention measures. FCA guidance on the regulation of cryptoassets - As previously reported in this blog, the FCA consulted on guidance on cryptoassets...more

A&O Shearman

UK to Adopt EU Equivalence Decisions for Exchanges and Bank Exposures in No Deal Brexit

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HM Treasury has laid before Parliament a draft of the Equivalence Determinations for Financial Services and Miscellaneous Provisions (Amendment etc) (EU Exit) Regulations 2019. The draft Regulations grant HM Treasury...more

Dechert LLP

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

Dechert LLP on

Central Bank publishes the fifth edition of its investment firms Q&A - The Central Bank of Ireland published the fifth edition of its Investment Firms Questions and Answers (the “Q&A”) on October 8, 2018, containing an...more

A&O Shearman

EU Trading Venues and CCPs Exempted from the Open Access Requirements for Exchange-Traded Derivatives

A&O Shearman on

The European Securities and Markets Authority has published a list of trading venues exempt from the open access requirements of the Markets in Financial Instruments Regulation under transitional arrangements for...more

Katten Muchin Rosenman LLP

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

BROKER-DEALER - SEC Provides Notice of Fixed Income Market Structure Advisory Committee - The Securities and Exchange Commission Fixed Income Market Structure Advisory Committee recently announced that it will hold a...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

Tesla’s hoping that a manufacturing plant in China—the first in the country wholly owned by a foreign manufacturing company—will translate into big sales in the Chinese market. With the Chinese government loath to give up the...more

A&O Shearman

European Commission Considers it Unnecessary to Exclude Exchange-Traded Derivatives From the Open Access Provisions of MiFIR

A&O Shearman on

The European Commission has published a Report to the European Parliament and the Council recommending that Exchange-Traded Derivatives (ETDs) do not need to be excluded from the scope of the provisions of the Markets in...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume XI, Issue 36

BROKER-DEALER - SEC Chair Gives Speech on Equity Market Structure - On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future”...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume XI, Issue 14

BROKER-DEALER - SEC Approves FINRA’s Proposed Expansion of Supplement Schedule for Derivatives and Off-Balance Sheet Items - On April 5, the Financial Industry Regulatory Authority released Regulatory Notice 16-11...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume XI, Issue 13

BROKER-DEALER - FINRA Proposes Amendment to Transactions in Exchange-Traded Managed Fund Shares Rule - On March 29, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a...more

Morrison & Foerster LLP - Structured Products

Structured Thoughts: News for the financial services community, Volume 6, Issue 9

ESMA Final Report on Complex Debt Instruments and Structured Deposits - On 26 November 2015, the European Securities and Markets Authority (“ESMA”) published its Final Report on its “Guidelines on complex debt...more

Katten Muchin Rosenman LLP

Bridging the Week - August 2015 #5

Charles Schwab Fined US $2 Million by FINRA for Net Capital Deficiencies: Charles Schwab & Co. agreed to pay US $2 million to the Financial Industry Regulatory Authority to resolve allegations that it had net capital...more

Dechert LLP

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

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BaFin Issues New Guidance on Debt Funds - The German Financial Supervisory Authority, BaFin, made a significant change to its administrative practice on 12 May 2015 regarding loan originating and loan restructuring...more

Orrick - Finance 20/20

ESMA Discussion Paper on Calculation of Counterparty Risk by UCITS for OTC Derivatives Subject to EMIR Clearing

Orrick - Finance 20/20 on

On July 23, ESMA published a discussion paper on how the limits on counterparty risk in centrally cleared OTC derivative transactions under the UCITS IV Directive should be calculated, and whether the same rules for both OTC...more

Morrison & Foerster LLP

First steps on the path forward: As US swap execution facilities go live, the EU’s move to mandatory exchange trading continues....

At their September 2009 summit in Pittsburgh, G20 leaders agreed that by no later than December 2012, all standardised over-the-counter (OTC) derivatives should be traded on exchanges or electronic trading platforms ‘where...more

Orrick - Finance 20/20

EBA Issues Good Practices for Banks’ ETF Risk Management

Orrick - Finance 20/20 on

On March 7, the European Banking Authority (EBA) issued an opinion addressed to National Supervisory Authorities (NSAs) on good practices for credit institutions in their risk management of exchange traded funds (ETFs). ...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - March 1, 2013

In this issue: - Recent SEC Speeches Focus on Investor Protection and Disclosure - SEC 2013 Examination Priorities - CFTC Revises Clearing Compliance Schedule for iTraxx CDS Indices - SEC Division...more

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