Financial Services Regulation

We are Stibbe Financial Services Regulation specialists

Working across borders, our experienced financial services regulation teams, provide up-to-the-minute advice across all the markets our clients operate in.

Financial Services Regulation

Through our regulatory experience and key knowledge of any market developments, we assist clients in lobbying on, planning for and implementing regulation changes as they occur.

We specialise in many regulation areas including bank regulation, capital and liquidity requirements, marketing and selling restrictions, clearing and settlement, custody and prime brokerage, and recovery and resolution planning.

As an international team, we are experienced in providing surveys and comparative advice on regulatory matters that help our clients decide where best to conduct their business and in turn, provide them with a potential competitive advantage.

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11.04.2018 NL law
Court of Appeal: Deed of pledge does not cover all present receivables

Short Reads - 's-Hertogenbosch Court of Appeal denies pledgee's claim that all present and future receivables of the pledgor were pledged to it by a deed of pledge dated 20 January 2014 and ruled that the receivables listed in the schedule attached to the deed of pledge were leading to establish on which receivables a right of pledge was created.

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07.06.2018 NL law
Introduction of Green Loan Principles

Short Reads - Green finance and sustainable finance are trending topics. After green bonds becoming an increasingly common financing instrument, there is a growing demand by borrowers for green loans. For lenders on the other hand, also in view of various recent initiatives of the European Union in respect of sustainability, participation in (syndicated) green loans is expected to become more important within the investment criteria of a financial institution.

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24.01.2018 NL law
De rechtspositie van financiële instellingen ten aanzien van richtsnoeren en aanbevelingen van European Supervisory Authorities: Europese pseudowetgeving?

Articles - De ESA’s hebben in de praktijk een belangrijke functie binnen het Europese toezichtsmechanisme. Ze spelen een rol bij de totstandkoming van technische reguleringsnormen en uitvoeringsnormen en zij stellen richtsnoeren en aanbevelingen vast teneinde de gemeenschappelijke, uniforme en consistente toepassing van het Unierecht te verzekeren. Deze richtsnoeren en aanbevelingen worden wel geschaard onder de noemer ‘soft law’ en zijn niet juridisch bindend. Toch sorteren zij in de praktijk effecten die lijken op de effecten die ‘bindend recht’ sorteert.

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07.06.2018 NL law
Dutch Act implementing the Fourth Anti-Money Laundering Directive

Short Reads - New rules on Customer Due Diligence and the reporting of suspicious transactions are about to enter into force. In addition, The Netherlands Authority for the Financial Markets announced a stricter monitoring of the reporting of unusual transactions by investment firms and investment funds.

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25.04.2018 EU law
25 April 2018: Stibbe sponsors LPEA Insights conference in Luxembourg on 'Building the Real Economy'

Conference - LPEA, Luxembourg Private Equity and Venture Capital Association, organises a conference in Luxembourg, which brings on stage General Partners (GPs) and Limited Partners (LPs) to discuss and showcase the private equity sector from the perspective of local practitioners, together with additional contributions from guest speakers specially invited to the event. Stibbe Luxembourg is a proud sponsor of this event, which some of our lawyers will attend.  

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19.03.2018 EU law
The third-party effects of cross-border assignments of claims – Draft EU Regulation aiming to achieve legal certainty

Short Reads - On 12 March 2018, the European Commission (EC) published proposals on covered bonds, cross-border distribution of investment funds and cross-border transactions in claims and securities. The proposals are linked to the 2015 Action Plan on Capital Markets Union (CMU) and the European Commission's Mid-term Review that was published in June 2017.

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18.01.2018 NL law
UBO-register moet medio 2018 operationeel zijn

Short Reads - Medio 2018 zal volgens de voormalige staatssecretaris van Financiën het Ultimate Beneficial Owner (“UBO”) register (“UBO-register”) in Nederland operationeel moeten zijn. In dit register dienen rechtspersonen zelf informatie over hun UBO bij te houden. Het UBO-register moet helpen voorkomen dat het financiële stelsel wordt gebruikt voor het witwassen van geld of voor terrorismefinanciering. Er is tot op heden nog geen wetsvoorstel ingediend. 

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