News & Analysis as of

Legal Entity Identifiers

AIM Companies and the Legal Entity Identifier Requirement, European Capital Markets Update

by Jones Day on

The London Stock Exchange published AIM Notice 47 ("Notice") on 13 October 2017 in respect of the requirement that all AIM companies with securities admitted to trading on AIM obtain a Legal Entity Identifier ("LEI") code. It...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

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

Corporate News - November 2017

by Hogan Lovells on

A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law. ...more

Regulation Round Up - October 2017

by Proskauer Rose LLP on

3 October - The Prudential Regulator Authority (PRA) published a policy statement on strengthening accountability in banking and changes to senior managers regime (SMR) forms. The changes to the SMR forms will become live on...more

SEC Proposes Amendments to Modernize and Simplify Regulation S-K

by Foley & Lardner LLP on

On October 11, 2017, the U.S. Securities and Exchange Commission (SEC) voted to propose amendments to modernize and simplify disclosure requirements in Regulation S-K and related rules and forms to reduce the costs and...more

Legal Entity Identifiers under MiFID II

From 3 January 2018 all legal entities (no matter where they are based or incorporated) involved in buying, selling or issuing financial instruments on EU regulated markets, multilateral trading facilities or organised...more

Asset Management Regulatory Roundup - October 2017 - Issue 8

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 US-EU equivalence of certain OTC derivative rules; the FCA asset management...more

Regulation Round Up - September 2017

by Proskauer Rose LLP on

1 September - The Prudential Regulation Authority (PRA) updated its April 2017 public disclosure with Template A (Disclosure of Aggregate Statistical Data with regard to Insurance and Reinsurance Undertakings) and Template...more

Legal Entity Identifiers: A call to action for listed companies and issuers by the Luxembourg Stock Exchange

by Dechert LLP on

The Luxembourg Stock Exchange (the LSE) has called upon Luxembourg and foreign issuers (collectively Issuers) of financial instruments listed in Luxembourg, whether on the LSE’s regulated market (Bourse de Luxembourg) or...more

New FERC NOPR Will Have Impacts on the Financial Trading Community

by Pierce Atwood LLP on

On Thursday, July 21, 2016, FERC issued a new Notice of Proposed Rulemaking on Data Collection and Surveillance, which is to replace the prior Connected Entities and MBR Ownership NOPRs. The new NOPR will apply to: (1)...more

FinCEN Issues Final Rule on Customer Due Diligence Requirements for Legal Entity Customers

by King & Spalding on

On May 11, the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) published its Final Rule (Rule) requiring covered financial institutions, including, banks, brokerdealers, mutual funds, and money...more

CFPB to participate in Financial Data Summit

by Ballard Spahr LLP on

The CFPB is among the federal agencies participating in a Financial Data Summit hosted by the Data Coalition to be held on March 29, 2016 in Washington, D.C. Linda Powell, the CFPB’s Chief Data Officer, will be on a panel...more

Blasphemous Corporate Names

by Allen Matkins on

Yesterday’s post considered the question of whether the California Secretary of State could refuse to accept offensive corporate names. Blasphemous corporate names constitute a subset of offensive names because they are...more

NFA Issues Notice on the Inclusion of Legal Entity Identifiers in the Swap Dealer/Major Swap

by Katten Muchin Rosenman LLP on

The National Futures Association (NFA) has issued Notice I-15-28, which discusses the legal entity identifiers (LEIs) that are now being used in the NFA’s swap dealer/major swap participant registry (SD/MSP Registry). The...more

LEIROC reports on GLEIS

by Dentons on

LEIROC has published a report on the Global Legal Entity Identifier System (GLEIS) and regulatory uses of the LEI in a letter to FSB. LEIROC informs FSB that the GLEIS is now in place. It also describes the results of a...more

LEIROC consults on data in the GLEIS

by Dentons on

LEIROC has launched a consultation on incorporating data on branches into the Global Legal Entity Identifier System (GLEIS). LEIROC proposes a policy standard for the GLEIS that would allow Legal Entity Identifiers (LEIs) to...more

ESMA updates EMIR implementation Q&A

by Dentons on

ESMA has updated its Q&A on the implementation of European Market Infrastructure Regulation (EMIR). The update gives guidance on a procedure for counterparties and...more

LEIROC issues statement on individuals in a business capacity

by Dentons on

In response to enquiries on the eligibility of individuals acting in a business capacity to register for an LEI, LEIROC has issued a statement. LEIROC clarifies that individuals acting in a business capacity are eligible to...more

FERC Seeks to Expand Electricity Market Surveillance with New Data Reporting Requirements

by Morrison & Foerster LLP on

On September 17, 2015, the Federal Energy Regulatory Commission (FERC) issued a Notice of Proposed Rulemaking (NOPR) to expand the obligations of Regional Transmission Organizations and Independent System Operators...more

"Delaware LLCs and UK Entity Classification: The Fallout From the Curious Case of George Anson"

Fundamental to any developed tax policy is knowing who the taxpayer is (or should be) with respect to any particular transaction. Although that can be relatively straightforward in purely domestic situations, a cross-border...more

LEIROC consults on collecting parent data in the GLEIS

by Dentons on

LEIROC has published a consultation on collecting data on direct and ultimate parents of legal entities within the Global Legal Entity Identifier System (GLEIS). It seeks views on: - uses of relationship...more

CFTC Extends Designation of DTCC-SWIFT as Provider of Legal Entity Identifiers

On July 20, the Commodity Futures Trading Commission issued an order extending the designation of the Depository Trust and Clearing Corporation and Society for Worldwide Interbank Financial Telecommunications joint venture...more

U.S. SEC Approves Proposal to Modernize Investment Company Reporting Regime

by Dechert LLP on

The U.S. Securities and Exchange Commission (SEC or Commission) unanimously approved a proposal (Proposal) to modernize the reporting of information provided by registered investment companies (funds). Guided by the recent...more

Financial Regulatory Developments Focus - March 2015 #3

by Shearman & Sterling LLP on

In this issue: - US Federal Reserve Board Proposal Requiring Banking Organizations to Include Legal Entity Identifiers on Reporting Documents - Comptroller of the Currency Thomas Curry Testimony -...more

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