News & Analysis as of July 27, 2025

MiFID II

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The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

ESMA announces intention to publish guidance on algorithmic pre-trade controls under MiFID II

A&O Shearman on 7/15/2025

The European Securities and Markets Authority (ESMA) has published a press release sharing its view that the pre-trade controls that investment firms have implemented warrant further convergence. The EU Markets in Financial...more

Accountable for the ‘Black box’: A Primer on the Regulation of AI in Financial Services

Herbert Smith Freehills Kramer on 5/2/2019

We recently discussed the topic of risk management as it relates to artificial intelligence (AI) in financial services, and suggested certain tips for the financial services sector. This article is the first of a series that...more

European Supervisory Authority Withdraws Guidelines for Algorithmic Trading Controls

A&O Shearman on 10/12/2018

The European Securities and Markets Authority has published a decision (dated September 26, 2018) of its Board of Supervisors to withdraw its existing Guidelines for trading platforms, investment firms and national regulators...more

MiFID II for Non-EU Investment Banks and Brokers

A&O Shearman on 9/19/2017

The revised EU Markets in Financial Instruments package—known as MiFID II—takes effect on January 3, 2018. Some aspects of this legislation are extra-territorial. New rules on inducements, the unbundling of research, legal...more

Corporate and Financial Weekly Digest - Volume XII, Issue 35

Katten Muchin Rosenman LLP on 9/18/2017

SEC/CORPORATE - SEC Commissioners Announce Search for First-Ever Advocate for Small Business Capital Formation - On September 13, the Commissioners of the Securities and Exchange Commission (SEC) announced the launch of...more

MiFID II for Non-EU Fund Managers

A&O Shearman on 6/21/2017

The revised EU Markets in Financial Instruments package—known as MiFID II—takes effect on January 3, 2018. New rules on trading inducements, research, best execution, market transparency and the regulation of algorithmic...more

Complete Revision of German Securities Trading Act Passed German Parliament

Jones Day on 5/23/2017

On 30 March 2017, the German Parliament (Bundestag) finally approved a complete revision of the German Securities Trading Act (Wertpapierhandelsgesetz) as part of the Second Financial Markets Reform Act (2....more

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