News & Analysis as of

Legal Entity Identifiers

MiFID II begins as the finance industry takes a breath

So the ‘sleeps til MiFID II’ clock finally ticked down to zero and the industry flicked the switch on Jan 3rd. As City A.M. nicely phrased it, the “Day of the MiFIDs” was upon us....more

CFPB Announces Annual Adjustments to HMDA Asset-Size Exemption Thresholds and Launch of New HMDA Online Tools

by Weiner Brodsky Kider PC on

The CFPB has recently issued several announcements impacting financial institutions that submit data under the Home Mortgage Disclosure Act (HMDA). First, the CFPB has increased the asset-size exemption threshold under HMDA...more

European Securities and Markets Authority Issues Statement on Introduction of the Legal Entity Identifier Requirements Under the...

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published a statement in response to indications that not all investment firms will succeed in obtaining Legal Entity Identifier codes from all their clients that are legal...more

Asset Management Regulatory Roundup - January 2018 - Issue 1

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details of the matters to be considered by users of financial benchmarks when selecting an...more

LEI delay helps firms but the pressure is still on

On December 20, 2017, the European Securities and Markets Authority (ESMA) announced a six month Legal Entity Identifiers (LEI) grace period, but firms must be in the process of obtaining client LEIs. You need the insight...more

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

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