News & Analysis as of July 30, 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 -

Crypto-Assets: AMF Aligns with Six Sets of European Supervisory Guidelines under MiCA Regulation

Goodwin on 5/15/2025

As part of the implementation of the European Markets in Crypto-Assets Regulation (MiCA), the French Financial Markets Authority (AMF) has announced its compliance with six sets of guidelines adopted by European Supervisory...more

EU DORA: Are you in scope, and if so, how can you prepare?

King & Spalding on 12/23/2024

The Digital Operational Resilience Act (DORA) establishes a harmonised and comprehensive framework for information and communication technology (ICT) risk management in the financial sector. It is a directly applicable EU...more

Operational resilience regulatory framework in Europe

Hogan Lovells on 3/25/2021

In recent years, operational resilience has come under the spotlight of financial regulators globally, leading to a proliferation of new regulation. The sheer number of publications on this topic can be confusing for...more

ESMA’s Post-Brexit Regime for UK Investment Firms Revisited—‘Equivalence’ or Direct Regulation?

A&O Shearman on 10/22/2020

The European Union’s financial regulatory regime for third-country access in many sectors relies on a framework of “equivalence,” whereby institutions based in approved non-EU countries with similar standards may have varying...more

Regulation Round Up - July 2020

Proskauer Rose LLP on 8/7/2020

30 July - The Financial Conduct Authority (“FCA”) updated its webpage on the High Court business interruption insurance test case. The Prudential Regulation Authority (“PRA”) published a consultation paper (CP11/20)...more

Key Regulatory Topics: Weekly Update 13 December 2019 - 19 December 2019

A&O Shearman on 12/27/2019

CAPITAL MARKETS - Please see Conduct for an update on the IOSCO report on conflicts of interests and risks during the debt capital raising process - FCA publish Primary Market Bulletin - On 17 December 2019, the FCA...more

Key Regulatory Topics: Weekly Update 11 – 17 October 2019

A&O Shearman on 10/24/2019

BREXIT - Brexit negotiations - On 17 October, the UK government and the EC reached an agreement on a revised Protocol on Ireland/Northern Ireland to the Withdrawal Agreement, and a revised political declaration on the...more

Key Regulatory Topics: Weekly Update 12 July 2019 - 18 July 2019

A&O Shearman on 7/24/2019

BREXIT - EEA Joint Committee Decisions - On 18 July, four Decisions of the EEA Joint Committee made on 29 March and five Decisions made on 11 April that amend Annex IX (Financial Services) to the EEA Agreement were...more

Brussels Regulatory Brief: June 2019

K&L Gates LLP on 6/27/2019

INSTITUTIONAL DEVELOPMENTS - The New European Parliament: More Fragmentation, Ad Hoc Coalitions, And Greener Policies? The results of the May 2019 European Parliament (“EP”) elections resulted in a more complex European...more

EU Technical Advice on Incorporating Sustainability Factors Into EU Regulation

A&O Shearman on 5/16/2019

The European Securities and Markets Authority has published its final report and technical advice to the European Commission on incorporating sustainability risks and factors into European regulation. The European Commission...more

Key Regulatory Topics: Weekly Update 26 April - 2 May 2019

A&O Shearman on 5/10/2019

CONSUMER/RETAIL - FCA call for input on RDR and FAMR review - On 1 May, the FCA published a call for input on its plans to evaluate the Retail Distribution Review (RDR) and Financial Advice Markets Review (FAMR). The...more

Key Regulatory Topics: Weekly Update 5 to 11 April 2019

A&O Shearman on 4/17/2019

BREXIT - On 11 April, the European Council Decision (EU) 2019/584, taken in agreement with the UK to extend the period under Article 50(3) TEU, was published in OJ. The European Council agreed to a further extension to...more

Key Regulatory Topics: Weekly Update 29 March to 4 April 2019

A&O Shearman on 4/11/2019

BREXIT - Final EBA Outsourcing Guidelines: Impact on firms’ Brexit contingency plans The EBA has published final guidelines on outsourcing (the EBA Guidelines), which will replace the guidelines issued by its predecessor,...more

Regulation Round Up - March 2019

Proskauer Rose LLP on 4/3/2019

1 March - The European Banking Authority ("EBA") published an opinion on deposit protection resulting from the United Kingdom's ("UK") withdrawal from the European Union ("EU"). The Financial Conduct Authority ("FCA")...more

Key Regulatory Topics: Weekly Update 22 March - 28 March 2019

A&O Shearman on 4/2/2019

BREXIT - Final EBA Outsourcing Guidelines: Impact on firms’ Brexit contingency plans - The EBA has published final guidelines on outsourcing (the EBA Guidelines), which will replace the guidelines issued by its predecessor,...more

Key Regulatory Topics: Weekly Update 15 March - 21 March 2019

A&O Shearman on 3/27/2019

BREXIT - European Economic Area member states' domestic preparations for a “no deal” Brexit A&O has been tracking legislative developments in preparation for a no-deal Brexit throughout the EU27 member states. On our...more

Key Regulatory Topics: Weekly Update 1 March -7 March 2019

A&O Shearman on 3/12/2019

PUBLICATIONS - Brexit and the creation of UK sectoral sanctions targets - The UK currently is set to leave the European Union on 29 March. In the context of international sanctions, most commentary has focussed on the...more

Regulation Round Up - February 2019

Proskauer Rose LLP on 3/5/2019

1 February - The Financial Conduct Authority ("FCA") published a press release announcing that it has agreed with the European Securities and Markets Authority ("ESMA") and other European Union securities regulators...more

Key Regulatory Topics: Weekly Update 22 February to 28 February 2019

A&O Shearman on 3/5/2019

BREXIT- Financial Services Contracts (Transitional and Saving Provision) (EU Exit) Regulations 2019 made On 28 February, the Financial Services Contracts (Transitional and Saving Provision) (EU Exit) Regulations 2019 were...more

EC Publishes Draft Delegated Regulations under MiFiD II and IDD on Sustainable Finance

Orrick - Finance 20/20 on 1/17/2019

On January 4, the European Commission published the following draft Delegated Regulations which are designed to ensure insurance distributors and investment firms take environmental, social and governance (“ESG“) issues into...more

Key Regulatory Topics: 21 Dec - 3 January 2019

A&O Shearman on 1/14/2019

Allen & Overy publish weekly updates on key regulatory topics affecting the financial services sector. BREXIT - Please see the product sections for updates on the various draft SIs published in the last two weeks in...more

Key Regulatory Topics: 7 - 13 December 2018

A&O Shearman on 12/28/2018

BREXIT - Please see the Consumer/Retail and Markets and Markets Infrastructure section for updates on various draft SIs published this week in anticipation of a hard Brexit and Trade associations' letter on temporary...more

Key Regulatory Topics: Weekly update 28 Sept - 4 Oct

A&O Shearman on 10/11/2018

BREXIT - Please refer to the Insurance section for an update on LMA model clauses on Brexit and placing of risks after 1 January 2019. Please refer to the Other Developments section for an update regarding the FCA Chair...more

Key Regulatory Topics: Weekly Update, 3-9 August 2018

A&O Shearman on 8/20/2018

BREXIT - Draft Short Selling (Amendment) (EU Exit) Regulations 2018 - On 9 August, HMT published a draft version of the Short Selling (Amendment) (EU Exit) Regulations 2018 and an explanatory information document....more

EC Seeks Guidance on Sustainable Finance

Orrick - Finance 20/20 on 8/8/2018

The European Commission (“EC“) published an open letter to EIOPA and ESMA on August 1, 2018. The letter sought technical advice in relation to sustainable finance, in particular technical advice relating to legislation....more

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