Mondaq All Regions: Finance and Banking
Holding Redlich
ASIC industry funding came into effect on 1 July 2017, so ASIC largely relies on the industry to fund regulatory costs.
Corrs Chambers Westgarth
ASX-listed resources companies must ensure that public announcements comply with the JORC Code and ASIC and ASX guides.
Invest Barbados
Coin Start Limited has been duly registered as a Listing Sponsor of the Barbados Stock Exchange's (BSE) International Securities Market (ISM), effective June 8, 2018.
Perez Llorca
El supuesto enjuiciado deriva de una entidad que adquiere acciones propias y reduce capital social abonando a los socios un importe superior al de las aportaciones realizadas mediante el reparto de reservas ...
Brodies LLP
As negotiations between the EU and the UK continue after the publication of the UK's White Paper containing proposals for the future UK-EU relationship, the UK Government is preparing for Brexit.
Field Fisher
As Spotify espouses the merits of direct listings, doing away with the need for underwriters to lock in investors ahead of a company's public float, Brad Isaac, corporate partner at law firm...
Wrigleys Solicitors
In Jadran Dodi? v BANKA KOPER, ALTA INVEST (Case C-194/18), a case from Slovenia, the Court is being asked whether the transfer of financial instruments and other client assets
Deloitte
On 27th July 2018, the PRA published its Consultation Paper (CP) 17/18 on Credit Risk Definition of Default (DoD).
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") Business Conduct Committee brought a Complaint against a commodity pool operator ...
Arnold & Porter
On August 8, 2018, the FinCEN extended for an additional 30 days the exceptive relief granted to covered financial institutions from collecting beneficial ownership information on certain accounts...
Cadwalader, Wickersham & Taft LLP
The CFTC proposed amendments to codify policies and procedures for organizations located outside of the U.S. to obtain an exemption from registration as a derivatives clearing organization ("DCO").
Cadwalader, Wickersham & Taft LLP
The SEC charged the U.S. Representative for New York's 27th Congressional District, his son and a third individual with insider trading.
Cadwalader, Wickersham & Taft LLP
The Financial Crimes Enforcement Network ("FinCEN") extended previously granted relief that temporarily exempts certain products and services from the Beneficial Ownership Rule.
Cadwalader, Wickersham & Taft LLP
The Global Foreign Exchange Committee ("GFXC") published an updated version of the FX Global Code (the "Code") and highlighted recent GFXC developments and near-term priorities.
Mayer Brown
Many of the issues related to these nontraditional custom indices are familiar to those who are aware of the regulatory attention paid to complex products over the years.
Mayer Brown
Material conflicts of interest arising from financial incentives are treated differently under the Regulation, as those conflicts must be mitigated or eliminated, whereas other material conflicts of interest may be resolved with disclosure only.
Mayer Brown
This note is not intended to set forth an exhaustive list of comments that the Staff can issue relating to a REIT's use of non-GAAP financial measures.
Kramer Levin Naftalis & Frankel LLP
The Closed-End Fund Center held a Q&A with Jeremy Held, Senior Vice President and Director of Research for ALPS, Jeremy Goff, Managing Director for Tortoise, and Brody Browe
Kramer Levin Naftalis & Frankel LLP
AllianceBernstein reached an agreement with iCapital Network for a white label platform to allow high-net-worth investors at registered investment advisory firms ...
Cadwalader, Wickersham & Taft LLP
The FRB final rule implementing single-counterparty credit limits for certain U.S. bank holding companies and foreign banking organizations operating in the United States was published in the Federal Register.
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