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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... more +
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 -
A&O Shearman

Regulatory monitoring: EU version - July 2025

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1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) EU - EBA: Report on the exemption of third country undertakings from the requirement to set-up a branch for the provision of banking services to EU...more

A&O Shearman

Regulatory monitoring - April 2025

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1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) Germany - Bundesbank: Updated directories of credit institutions and their associations in Germany on banking related information (Aktualisiertes...more

A&O Shearman

ESMA final report on systematic internaliser ITS, volume cap and transparency calculations and trading venue RTS

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The European Securities and Markets Authority (ESMA) has published a final report in relation to certain changes being made as a result of the MiFID II/MiFIR review, together with an accompanying press release. The changes...more

A&O Shearman

ESMA final report on order execution policy technical standards

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The European Securities and Markets Authority (ESMA) has published a final report in relation to the draft regulatory technical standards (RTS) specifying criteria for establishing and assessing the effectiveness of...more

A&O Shearman

Regulatory monitoring - March 2025

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1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) EU - EBA: Updated methodology on the regulatory and supervisory equivalence of non-EU countries - Status: Final - The EBA has published its updated...more

Proskauer Rose LLP

Regulation Round Up - July 2023

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31 July - ESG: The European Commission adopted a Commission Delegated Regulation, setting out the first set of European Sustainability Reporting Standards (“ESRS”), together with a Q&A (see press release). The ESRS specify...more

Hogan Lovells

The European Commission’s Retail Investment Package – what do investment firms need to be prepared for?

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The European Commission adopted its Retail Investment Package on 24 May 2023 as part of its 2020 Capital Markets Union Action Plan. The main objective is to strengthen the protection of retail investors in the European Union...more

Proskauer Rose LLP

SFDR RTS – implementation date looms

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On 10 March 2021,the Sustainable Finance Disclosure Regulation ((EU) 2019/2088) ("SFDR") came into force. This imposes environmental, social and corporate governance (“ESG”) and reporting requirements on a wide range of...more

Akin Gump Strauss Hauer & Feld LLP

[Podcast] SFDR for Beginners

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In this episode, the first in our three-part EU ESG Considerations for Beginners miniseries, Akin Gump financial regulatory partner Ezra Zahabi looks at the Sustainable Finance Disclosure Regulation (SFDR) and what it means...more

A&O Shearman

European Commission Consults on MiFID II

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The European Commission has launched a consultation on reviewing the EU Markets in Financial Instruments package. The Markets in Financial Instruments Directive and Markets in Financial Instruments Regulation have applied...more

A&O Shearman

European Banking Authority Publishes Action Plan on Sustainable Finance

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The European Banking Authority has published an action plan on sustainable finance, setting out how it intends to deliver on its aims to help combat environmental, social and governance risks and providing clarity on the...more

A&O Shearman

European Securities and Markets Authority Issues Call for Evidence on Product Intervention Measures

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The European Securities and Markets Authority has issued a call for evidence on the impact of its product intervention powers prohibiting the marketing, distribution and sale of binary options to retail clients and imposing...more

Morgan Lewis

ESMA Publishes Advice on How Fund Managers and Investment Firms Should Integrate Sustainability Risks and Factors into Their...

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The European Commission (the Commission) has made sustainable finance an express initiative within its overall plans to strengthen capital markets in the European Union. In July 2018, the Commission sought advice from the...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest Featuring Article on Proposed Changes to Regulation S-K and an Update on EU Equivalency

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SEC/CORPORATE – SEC Proposes to Modernize Business, Legal Proceedings and Risk Factor Disclosures Required by Regulation S-K – On August 8, the Securities and Exchange Commission proposed amendments to modernize the...more

Orrick - Finance 20/20

European Commission Publishes Communication on Equivalence Policy With Non-EU Countries

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On July 29, the European Commission published a communication (and annex) on equivalence in the area of financial services. ...more

A&O Shearman

EU Call for Evidence on the Impact of the Inducements and Charges Disclosure Requirements Under MiFID II

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The European Securities and Markets Authority has launched a call for evidence on the impact of the inducements and costs and charges disclosure requirements under the revised Markets in Financial Instruments Directive. MiFID...more

A&O Shearman

EU Evaluates MiFID II's Success in Improving Trade Data Quality, Availability and Costs

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The European Securities and Markets Authority has launched a consultation on the development of pre- and post-trade transparency data and the functioning of the consolidated tape for equity instruments under the revised...more

Orrick - Finance 20/20

Council of the EU Publishes Notes on Proposed Regulation and Directive for Supervision Investment Firms

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On January 4, the Council of the EU published the following notes from the Council Presidency to its Permanent Representatives Committee (“COREPER“) relating to the European Commission’s proposed Regulation and Directive...more

A&O Shearman

Revised prudential framework for investment firms

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On 20 December 2017, the European Commission published proposals to revise the framework for the prudential regulation of investment firms. The proposals were anticipated and are an attempt to “ensure that investment firms...more

Orrick - Finance 20/20

European Commission Publishes Guidance on MiFiD II Inducements and Research Reforms

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On October 26, 2017, the European Commission issued a list of FAQs in an attempt to clarify the obligations of EU investment firms in relation to brokerage and research services which are located in non-EU jurisdictions. ...more

Orrick - Finance 20/20

Amendment to MiFID II – European Commission Adopts Delegated Regulation Amending Systematic Internaliser Definition

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The European Commission published the text of a Delegated Regulation amending Delegated Regulation (EU) 2017/565 in relation to the specification of the definition of systematic internalisers on August 28, 2017. The...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

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Financial Industry Developments - SEC Adopts T+2 Settlement Cycle for Securities Transactions - On March 22, 2017, the Securities and Exchange Commission (SEC) adopted an amendment to Rule 15c6-1(a), shortening the...more

Orrick - Finance 20/20

European Commission Publishes Inception Impact Assessment on New Prudential Framework for Investment Firms

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The European Commission has published an inception impact assessment on its review of the appropriate treatment for investment firms. The impact assessment relates to the Commission’s review of the prudential framework...more

Proskauer Rose LLP

Regulation Round Up - February 2017

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The FCA and PRA announced changes to enforcement process with the aim of strengthening the transparency and effectiveness of enforcement decision-making processes. Some of the changes have already come into force, the rest...more

Orrick - Finance 20/20

European Commission Calls for Further Technical Advice from EBA on Prudential Regime for Investment Firms under CRD IV

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On July 6, 2016, the EBA published a call for advice, dated June 13, 2016, that it has received from the European Commission relating to the prudential requirements applicable to investment firms under the Capital...more

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