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MiFID II

Financial Regulatory Developments Focus - April 2018 #3

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Asset Management Regulatory Roundup - April 2018 - Issue 7

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 FCA’s statement on the implementation period for Brexit; the requirement for firms...more

Allen & Overy's weekly update on Key Regulatory Topics - 6 April 2018 – 12 April 2018

by Allen & Overy LLP on

BREXIT - Please see the “Other” section for an update on the Joint Committee of ESAs’ report on the risks and vulnerabilities in EU financial system. CBI publishes report on the future of UK regulation On 11 April,...more

Corporate & Financial Weekly Digest, Featuring Topics on Broker/Dealer and UK/EU Developments

BROKER-DEALER - Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits - The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to...more

Financial Regulatory Developments Focus - April 2018 #2

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

MiFID II best execution: Are firms ready for RTS 27 and 28?

Having met the initial demands of MiFID II, financial organizations are now dealing with the directive’s best execution requirements under regulatory standards RTS 27 and 28. What do they need to know?...more

Regolamento Intermediari e Relazione sui Servizi

Il 15 febbraio 2018, la CONSOB ha emanato la delibera n. 20307 (“Delibera 20307”) che ha disposto l’abrogazione della precedente delibera n. 16190 del 29 ottobre 2007 così ridefinendo il nuovo regolamento in materia di...more

FCA Statement on Cryptocurrency Derivatives

by Latham & Watkins LLP on

FCA warns providers of cryptocurrency derivatives of their regulatory obligations. The UK Financial Conduct Authority (FCA) has issued a statement reminding businesses offering cryptocurrency derivatives of the requirement...more

Regulation Round Up - March 2018

by Proskauer Rose LLP on

1 March - The Financial Conduct Authority ("FCA") published general insurance value measures data in relation to 36 insurers (including both UK and EEA firms) for the year ending 31 August 2017. The data is aimed at...more

Spain: The MiFID II delegated regulations on notification of qualifying holdings and authorisation requirements and their...

by Hogan Lovells on

In the mid-80s, through the adoption of Council Directive 85/611/EEC of 20 December 1985 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in...more

Allen & Overy's weekly update on Key Regulatory Topics - 23 March 2018 - 28 March 2018

by Allen & Overy LLP on

BREXIT - Please see the Prudential Regulation section for updates on: (i) the record of the FPC meeting held on 12 March; and (ii) HMT’s recently published letter on the EC’s proposed package of reforms in relation to BRRD...more

European Securities and Markets Authority and European Banking Authority Final Guidelines on Suitability of Management Body...

by Shearman & Sterling LLP on

Following consultation in late 2017, the European Securities and Markets Authority and European Banking Authority have jointly published final Guidelines on the assessment of the suitability of members of management bodies...more

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

BROKER-DEALER - FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule - On March 23, the Financial Industry Regulatory Authority (FINRA) announced it is conducting a retrospective...more

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

by Dechert LLP on

BaFin Publishes Interpretative Notice Regarding the Qualification of Tokens and Cryptocurrencies Offered Through Initial Coin Offerings to Investors - BaFin published its new interpretative notice on 20 February regarding...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

First Use of ESMA Temporary Product Intervention Measures

by Latham & Watkins LLP on

ESMA to introduce measures to restrict the provision of CFDs, and prohibit the provision of binary options, to retail investors in the EU. The European Securities and Markets Authority (ESMA) has announced the first use of...more

Powering asset management – Overcoming research unbundling

Faced with MiFID II research challenges, such as research unbundling, buy-side firms are using Thomson Reuters StarMine to ‘analyze the analysts’ and decide where to allocate spending on sell-side reports....more

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

by Dechert LLP on

AMF Public Consultation on ICOs - The AMF launched a public consultation on Initial Coin Offerings (ICOs) on 26 October 2017 in order to assess how these fundraisings could be regulated. Out of the three regulatory options...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

Allen & Overy's weekly update on Key Regulatory Topics - 16 March 2018 - 22 March 2018

by Allen & Overy LLP on

BREXIT - ESMA publishes speech on supervisory convergence post Brexit - On 21 March, ESMA published a speech by Steven Maijoor, ESMA Chair, on supervisory convergence in the context of Brexit, transaction cost...more

Regulatory intelligence: Unlocking value in content

In an era of ever-changing regulations and increased enforcement activity, targeted regulatory intelligence that allows users to accurately identify the information most relevant to them at any particular point is invaluable....more

Developments in Sustainable Finance: EU Commission Action Plan For Financing Sustainable Growth

by Reed Smith on

On 8 March 2018, the EU Commission proposed a suite of far-reaching near-term reforms aimed at the promotion and regulation of “sustainable finance” in all its forms across the entire investment chain within the European...more

UK Asset Management Regulatory Roundup - March 2018 - Issue 6

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 FCA’s approach to authorisation; action taken on closet tracking funds; proposed EU...more

Asset Management Regulatory Roundup - March 2018 - Issue 5

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 proposed changes to the Financial Services Register to accommodate the Senior Managers...more

Registered Firms: Annual Compliance Obligations—What You Need To Know

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular...more

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