Mondaq All Regions: Finance and Banking
Swaab Attorneys
In this recent Victorian appeal case, the court found the establishment fee charged for the loan to be a penalty.
McCullough Robertson
RG 264 aims to safeguard sell-side research from the influence of issuing companies and the licensee's advisory team.
Davies Ward Phillips & Vineberg
The rules related to the custody of client assets, including assets of investment funds, will come into force on June 4, 2018.
Shearman & Sterling LLP
On June 29, 2018, the European Banking Authority published an amended draft Implementing Technical Standards specifying the benchmarking portfolios, templates and definitions ...
Kramer Levin Naftalis & Frankel LLP
Gilles Kolifrath, François Poudelet, Jérôme Blanchet and Linda Sharkey authored a Client Letter on latest developments in banking, the markets and insurance.
ELVINGER HOSS PRUSSEN, société anonyme
The Law of 30 May 2018 implementing the revised EU Markets in Financial Instruments regime (MiFID II) into Luxembourg law ("MiFID II Law ") entered into force on 4 June 2018
Schellenberg Wittmer Ltd
While a part of the derivatives market is already cleared through central counterparties at present, the Swiss regulation of derivatives transactions under the Financial Market Infrastructure Act ...
Shearman & Sterling LLP
On June 28, 2018, following a consultation in October 2017 which closed on January 4, 2018, the U.K. Prudential Regulation Authority published a Policy Statement on changes to its large exposures framework.
Duff and Phelps
In this edition of Regulatory Focus, the experts in Duff & Phelps' UK Compliance and Regulatory Consulting team, provide a detailed synopsis of the latest news and publications issued...
Shearman & Sterling LLP
On July 4, 2018, the U.K. Financial Conduct Authority published Policy Statements confirming the rule changes it will apply to extend the application of the Senior Managers & Certification Regimes ...
Travers Smith LLP
On 4 July 2018, the FCA published the following package of documents relating to the extension of the Senior Managers and Certification Regime (SMCR) to insurers and all FCA firms.
Shearman & Sterling LLP
On June 27, 2018, U.S. Board of Governors of the Federal Reserve System Vice Chairman for Supervision, Randal Quarles, discussed the importance of the promotion of global financial stability ...
Shearman & Sterling LLP
On June 28, 2018, the U.S. Office of the Comptroller of the Currency announced updates to a number of supervision booklets, including the "Bank Supervision Process," "Community Bank Supervision," ...
Kramer Levin Naftalis & Frankel LLP
The SEC adopted amendments to public liquidity-related disclosure requirements for certain open-end funds, requiring them to discuss the operation and effectiveness of their liquidity risk...
Cadwalader, Wickersham & Taft LLP
The CFTC proposal to simplify the requirements for self-regulatory organizations ("SROs") conducting financial surveillance on futures commission merchants ("FCMs") was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo named Matthew A. Daigler as Senior Counsel. In his new role, Mr. Daigler's responsibilities will include advising the Chair on the CFTC's agenda for swaps regulation reform.
Cadwalader, Wickersham & Taft LLP
An attorney and the business affairs manager of his law firm agreed to settle SEC charges of illegally selling shares of a company focused on the application of blockchain technology for food, drugs and healthcare.
Troutman Sanders LLP
We have posted several new topics to the Consumer Financial Services Law Monitor blog throughout the month of June.
Kramer Levin Naftalis & Frankel LLP
Pierre Storrer – Derrière la DSP2: le règlement Authentification forte et Communication sécurisée, in Revue Banque n°820 de mai 2018
Shearman & Sterling LLP
On June 28, 2018, the U.S. Office of the Comptroller of the Currency announced updates to a number of supervision booklets, including the "Bank Supervision Process," "Community Bank Supervision," ...
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Norton Rose Fulbright Australia
Businesses should regularly review their insurance policies and consider the scope of cover and existing policy limits.
ClarkeKann Lawyers
PBAs are trust accounts, intended to protect down the line subcontractors from the insolvency of up the line contractors.
Worrells Solvency & Forensic Accountants
Section 588FDA of the Corporations Act provided that it was voidable as an unreasonable director-related transaction.
Surry Partners
Parents should document any funding arrangement of a family property purchase, to avoid the risk of a costly dispute.
HHG Legal Group
Circumstances surrounding the entry into pre-nuptial agreements are considered when assessing their validity.
Cooper Grace Ward
Vendors to land sale contracts in Queensland should be aware of conditions that could result in an instalment contract.
Holley Nethercote commercial & financial services lawyers
Similar to past AUSTRAC risk assessments, this report has a broad application to the whole financial services industry.
Corrs Chambers Westgarth
Principals and head contractors should be aware of (and comply with) the changes, or risk being in breach of the new Act.
On Dec. 5, 2017, the Federal Trade Commission reached a settlement with three defendants who it alleged partook in deceptive, abusive and unfair debt collection practices ...
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