Mondaq Europe - Germany: Finance and Banking
Dentons
IOSCO guidance addressed conflicts of interest and conduct risks in equity capital raising
Dentons
On July 11, 2017, the Frankfurt based European Insurance and Occupational Pensions Authority (EIOPA) released an "Opinion on supervisory convergence in light of the United Kingdom withdrawing from the EU" ...
Dentons
The European Central Bank (ECB)'s publication on May 2, 2018 of its framework for "Threat Intelligence-Based Ethical Red-Teaming" (TIBER-EU Framework)
Dentons
The EBA's SPoRs share a number of common supervisory aims set out in similar Opinions issued by the EBA's sister European Supervisory Authorities (the ESAs) ...
Dentons
The European Central Bank (ECB), acting in its role as the lead in the Single Supervisory Mechanism's (SSM) pillar of the Eurozone's Banking Union has been increasingly clear ...
Dentons
On May 31, 2017, the European Securities and Markets Authority (ESMA), which is an EU-wide European Supervisory Authority (ESA), released a legal instrument ...
Dentons
On May 16, 2018, the Economic and Monetary Committee of the European Parliament backed a proposal (the Proposal) of the European Commission (the Commission), as the executive of the EU,
Dentons
While the ‘crypto hype' seems to have the finance industry firmly under its spell, the EU Commission is persistently continuing its goal to develop a more attractive regulatory framework supporting access to...
Dentons
The following represents a carefully curated selection of our recent Thought Leadership contributions:
Dentons
QuickTake – A further step to empower individuals to act against corporate wrongdoings? Or more window dressing?
Dentons
The German Ministry of Finance published a Draft bill (Referententwurf) on the further implementation of the EU Prospectus Ordinance and on the amendment of financial market laws.
P+P Pollath + Partners
The Federal Ministry for Economic Affairs and Energy has now published the long-awaited draft law revising the German Placement Agent Regulation ("FinVermV").
Dentons
This Client Alert follows our previous coverage on the draft version of the OSIIM Guide.
Dentons
On August 24, 2018, ESMA announced, in its first use of this power, an extension of the existing ban from October 2, 2018 for binary options for those products it has not exempted from the further extension.
Dillon Eustace
BAFIN has recently indicated to industry and other EU regulators that it will require foreign UCITS registered to distribute in Germany to be compliant with the application by BAFIN of the IOSCO...
Dentons
The BaFin warns against entering into transactions, particularly involving CFDs (Contracts for Difference),
Dentons
ESMA adopts final product intervention measures to restrict the provision of CFDs and prohibit the provision of binary options to retail investors
Dentons
Fit and proper assessments are key supervisory tools in the EU but also in the Eurozone and its Banking Union.
Dentons
German financial services supervisor clarifies supervisory requirements on IT systems, processes and governance in financial institutions
Dentons
BaFin has published a new Circular on interest rate risks in the banking book (IRRBB).
Most Popular Recent Articles
Dentons
This Client Alert follows our previous coverage on the draft version of the OSIIM Guide.
Dentons
On May 16, 2018, the Economic and Monetary Committee of the European Parliament backed a proposal (the Proposal) of the European Commission (the Commission), as the executive of the EU,
Dentons
On August 24, 2018, ESMA announced, in its first use of this power, an extension of the existing ban from October 2, 2018 for binary options for those products it has not exempted from the further extension.
Intertrust
A new tax law came into effect on 1 January 2018 affecting German domestic and foreign funds holding German investments or being promoted by German asset managers.
Dentons
IOSCO guidance addressed conflicts of interest and conduct risks in equity capital raising
Mayer Brown
The new German Capital Investment Act (Kapitalanlagegesetzbuch, "KAGB") enters into force on July 22, 2013.
Dentons
The European Central Bank (ECB), acting in its role as the lead in the Single Supervisory Mechanism's (SSM) pillar of the Eurozone's Banking Union has been increasingly clear ...
Dechert LLP
Wells Fargo & Company, the largest commercial real estate lender in the United States, began to eye the property market in the United Kingdom.
Dentons
The EBA's SPoRs share a number of common supervisory aims set out in similar Opinions issued by the EBA's sister European Supervisory Authorities (the ESAs) ...
Dentons
German financial services supervisor clarifies supervisory requirements on IT systems, processes and governance in financial institutions
Dentons
The European Central Bank (ECB)'s publication on May 2, 2018 of its framework for "Threat Intelligence-Based Ethical Red-Teaming" (TIBER-EU Framework)
Dentons
The BaFin published Circular (Rundschreiben) on high-risk third countries under money laundering aspects
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