Mondaq UK: Corporate/Commercial Law > Securities
Walkers
The Consultation is specifically relevant for UCITS management companies and investment managers as their delegates ("Managers"), institutional investors, retail investors and relevant trade organisations.
Dentons
The ESMA has published its annual peer review report on the overall supervision of EU Central Counterparties (CCPs) by National Competent Authorities (NCAs).
Dentons
The bulk of the new EU Prospectus Regulation 2017/1129 (the Regulation) took effect on 21 July 2019.
Vistra
The "management and control'' test of corporate residence is a significant connecting factor for tax purposes in many common law jurisdictions.
Hogan Lovells
The Financial Conduct Authority (FCA) has updated its webpage on guidance consultation 19/3 (GC19/3), which seeks views on proposed guidance for firms on the fair treatment of vulnerable
Norton Rose Fulbright Canada LLP
On September 2019, the European Securities and Markets Authority (ESMA) published its final guidance regarding liquidity stress testing of investment funds
Hogan Lovells
The UK has always been a popular destination for UK and overseas companies who are looking to raise finance on a public securities market
Hogan Lovells
The Financial Conduct Authority (FCA) has published the protocols for the conduct of the "lessons learned" reviews, commissioned by the non-executive directors of the FCA, for:
DLA Piper
The Incentives Code effectively consolidates all tax incentives available for different economic activities in a single code.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On August 8, 2019, the Securities and Exchange Commission (SEC) announced proposed amendments to modernize the rules requiring description of business
Kirkland & Ellis International LLP
A recent Federal appellate court decision on potential liability of board observers under the securities laws is a useful reminder that the legal status
Herbert Smith Freehills
In this blog post, we round-up forthcoming developments in the UK and at EU and International levels in financial services regulation for August 2019.
Hogan Lovells
The FCA has published the findings of a review into how successfully the SMCR is embedded into the banking sector.
Shearman & Sterling LLP
On 4 April 2019, the Takeover Panel published amendments to the Takeover Code that will take effect on exit day (i.e., currently 31 October 2019).
DLA Piper
On Sunday, 21 July 2019, the Prospectus Regulation (Regulation EU/2017/1129, the "Prospectus Regulation") entered into force, replacing the prospectus directive as implemented within the EU.
Shearman & Sterling LLP
ESMA announced on 23 May 2019 that it has updated its Q&A on the Benchmarks Regulation. The update to the Benchmarks Regulation Q&A includes new Q&A clarifying:
Hogan Lovells
The FCA has published a speech by Andrew Bailey, Chief Executive of the FCA, given at the Securities Industry and Financial Markets Association's (SIFMA) LIBOR Transition Briefing in New York
Cleary Gottlieb Steen & Hamilton LLP
In May 2019, the UK Jurisdiction Taskforce of the LawTech Delivery Panel published its public consultation paper on the status of cryptoassets and distributed ledger technology, as well as the enforceability of smart contracts, ...
Hogan Lovells
The UK Financial Conduct Authority (FCA) has published an update relating to the extension of the senior managers and certification regime (SMCR) to FCA solo-regulated firms
DLA Piper
On July 8, 2019, the Securities and Exchange Commission and the Financial Industry Regulatory Authority issued a long-awaited Joint Statement addressing the ways in which the federal securities laws
Most Popular Recent Articles
Hogan Lovells
The Financial Conduct Authority (FCA) has published the protocols for the conduct of the "lessons learned" reviews, commissioned by the non-executive directors of the FCA, for:
Vistra
The "management and control'' test of corporate residence is a significant connecting factor for tax purposes in many common law jurisdictions.
DLA Piper
The Incentives Code effectively consolidates all tax incentives available for different economic activities in a single code.
Hogan Lovells
The Financial Conduct Authority (FCA) has updated its webpage on guidance consultation 19/3 (GC19/3), which seeks views on proposed guidance for firms on the fair treatment of vulnerable
Norton Rose Fulbright Canada LLP
On September 2019, the European Securities and Markets Authority (ESMA) published its final guidance regarding liquidity stress testing of investment funds
Kirkland & Ellis International LLP
A recent Federal appellate court decision on potential liability of board observers under the securities laws is a useful reminder that the legal status
Herbert Smith Freehills
In this blog post, we round-up forthcoming developments in the UK and at EU and International levels in financial services regulation for August 2019.
Hogan Lovells
The UK has always been a popular destination for UK and overseas companies who are looking to raise finance on a public securities market
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On August 8, 2019, the Securities and Exchange Commission (SEC) announced proposed amendments to modernize the rules requiring description of business
Hogan Lovells
The FCA has published the findings of a review into how successfully the SMCR is embedded into the banking sector.
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