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Regulatory Standards Financial Institutions European Union

A&O Shearman

EBA consults on draft RTS and guidelines for third country branches under CRD IV

A&O Shearman on

The European Banking Authority (EBA) has published three consultation papers under Directive 2013/36 (CRD IV), as amended by Directive 2024/169 (CRD VI), relating to the regulatory requirements for third country branches...more

Hogan Lovells

The EBA’s draft regulatory technical standard on customer due diligence - What should firms be worried about?

Hogan Lovells on

The European Banking Authority consultation on customer due diligence under the EU’s 6th money laundering package closes on 06 June, 2025, with the EBA due to submit its findings to the European Commission’s call for evidence...more

Katten Muchin Rosenman LLP

DORA Compliance: Navigating the Latest Developments

On 24 March 2025, the following two developments relating to the implementation of the EU Digital Operational Resilience Act (DORA) took place...more

A&O Shearman

RTS on criteria for the composition of joint examination teams under EU DORA published in OJ

A&O Shearman on

Commission Delegated Regulation 2025/420 has been published in the Official Journal of the EU. This Delegated Regulation supplements Regulation 2022/2554 on digital operational resilience for the financial sector (DORA)...more

A&O Shearman

European Commission adopts RTS on the elements to assess when subcontracting certain ICT services under DORA

A&O Shearman on

The European Commission has adopted a Delegated Regulation supplementing Regulation 2022/2554 on digital operational resilience for the financial sector (DORA) with regard to regulatory technical standards specifying the...more

A&O Shearman

EU MiCAR technical standards published

A&O Shearman on

Two delegated acts were published in the Official Journal of the European Union (OJ) in respect of the EU MiCAR. - Commission Delegated Regulation (EU) 2025/303, which comprises regulatory technical standards specifying the...more

A&O Shearman

European Commission Adopts Implementing Technical Standards and Regulatory Technical Standards on Notification of Major...

A&O Shearman on

The European Commission has adopted the following legislation supplementing the EU Digital Operational Resilience Act: (i) Commission Delegated Regulation containing Regulatory Technical Standards specifying the content and...more

Barnea Jaffa Lande & Co.

Understanding DORA: An Overview of the Digital Operational Resilience Act

The Digital Operational Resilience Act (DORA) is an EU regulatory framework, aimed at enhancing the financial sector’s ability to withstand and recover from ICT (information and communication technology) disruptions....more

A&O Shearman

Zooming In on AI - #6: AI under financial regulations in the U.S., EU and U.K.

A&O Shearman on

Many governments are grappling with the question of how to regulate artificial intelligence to ensure it is adopted safely and used responsibly without hampering innovation. Governments have generally indicated similar...more

A&O Shearman

European Central Bank Publishes Paper on TIBER-EU and EU Digital Operational Resilience Act Requirements

A&O Shearman on

The European Central Bank has published a paper outlining how the European framework for threat intelligence-based ethical red teaming, the TIBER-EU framework, can help competent authorities and financial entities fulfil...more

A&O Shearman

European Banking Authority Publishes Final Draft Regulatory Technical Standards on Market Risk Framework

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The European Banking Authority has published its final amendments to the Regulatory Technical Standards on the market risk framework, also known as the Fundamental Review of the Trading Book. The EU Capital Requirements...more

Skadden, Arps, Slate, Meagher & Flom LLP

Bank Capital Standards for Cryptoasset Exposures Under the Basel Framework

On 17 July 2024, the Basel Committee on Banking Supervision (BCBS) finalized revisions to the prudential framework for banks’ exposures to cryptoassets. The revisions largely introduced additional requirements relating to the...more

Skadden, Arps, Slate, Meagher & Flom LLP

Open Banking: Navigating the Emerging Regulatory Landscape

Open banking is an important driver of the fintech revolution. Regulators have recognised open banking as a means of introducing competition and innovation in the banking sector. Likewise, fintechs are seizing the...more

Mayer Brown

Legal Update: regulatory technical standards on homogeneity for STS transactions published in official journal

Mayer Brown on

The EU has, on 6 November 2019, published in the Official Journal a delegated regulation (the “Delegated Regulation”) supplementing the EU Securitisation Regulation (the “Securitisation Regulation”) with regard to regulatory...more

Hogan Lovells

Beyond Brexit: Regulatory equivalence in financial services

Hogan Lovells on

Irrespective of whether the UK leaves the EU with a withdrawal agreement, interest grows in the future of regulatory policy, the inter-connectivity of international financial services, and how firms from other countries will...more

A&O Shearman

Basel Committee on Banking Supervision Publishes Overview of Pillar 2 Practices and Approaches

A&O Shearman on

The Basel Committee on Banking Supervision has published an overview report on the Pillar 2 supervisory review process and on the different practices that regulators and legislators in Basel member jurisdictions have adopted...more

Hogan Lovells

Tick tock on the Brexit clock; a view from the Continent

Hogan Lovells on

As we painfully inch forward toward what may be the Brexit finish line, national regulators are firing shots across the bow of UK financial institutions carrying out activities in Continental Europe. ...more

Jones Day

The European Securitisation Regulation: The Countdown Continues...

Jones Day on

Draft Regulatory Technical Standards on Content and Format of the STS Notification - Regulation (EU) 2017/2402, which lays down a general framework for securitisation and creates a specific framework for simple,...more

Hogan Lovells

Force Maijoor: supervisory convergence - a view of the impact from Italy

Hogan Lovells on

On 11 April 2017, Steven Maijoor, the Chair of the European Securities and Markets Authority ("ESMA") addressed the potential regulatory issues which may affect EU Member States as a result of the Brexit effect on passporting...more

Herbert Smith Freehills Kramer

Priorités de l’AMF dans le cadre de la revue d’EMIR

This alert examines the priorities of the AMF (French SEC) regarding the amended EMIR regulation. ...more

Herbert Smith Freehills Kramer

Projet de règlement de la Commission européenne modifiant le règlement 648/2012 dit « règlement EMIR »

This alert examines the draft Commission Regulation amending Regulation 648/2012 aka « EMIR Regulation » and Communication from the Commission to the EU Parliament and Council as well as to the European Central Bank. ...more

Herbert Smith Freehills Kramer

Règlement délégué 2017/751 du 16 mars 2017 de la Commission

This alert examines the Commission Delegated Regulation (EU) 2017/751 of 16 March 2017 amending Delegated Regulations (EU) 2015/2205, (EU) 2016/592 and (EU) 2016/1178 as regards the deadline for compliance with clearing...more

K&L Gates LLP

UCITS V Directive—Overview and Practical Implications

K&L Gates LLP on

Changes to the UCITS Directive (known as “UCITS V”) were published in the Official Journal of the European Union and came into force on 17 September 2014. EU Member States are required to transpose UCITS V into national law...more

K&L Gates LLP

European Commission publishes plans for a Capital Markets Union

K&L Gates LLP on

On 30 September, the European Commission released its Action Plan for a Capital Markets Union (the “Action Plan”). The Capital Markets Union (“CMU”) is one of the key elements of the broader Investment Plan for Europe...more

Cadwalader, Wickersham & Taft LLP

FCA and Ofgem Question Adequacy of Commodity Firms’ Compliance and Market Abuse Controls

In the most recent edition of its regular market conduct and transaction reporting-focused ‘Market Watch’ publication, the UK Financial Conduct Authority (“FCA”) provides a review of commodities firms’ compliance and...more

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