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1
The Importance Of Adding Culture To The Board Agenda
On October 3, 2017, the National Association of Corporate Directors (NACD) published the NACD Blue Ribbon Commission Report on Culture as a Corporate Asset ...
United States
21 Sep 2018
2
Northern District Of Texas Dismisses With Prejudice Accounting-Related Claims For Failure To Adequately Allege Scienter
On September 11, 2018, Judge Barbara M. G. Lynn of the United States District Court for the Northern District of Texas dismissed with prejudice a third amended putative class action complaint ...
United States
19 Sep 2018
3
Northern District Of California Finds Scienter And Individual Reliance Adequately Pleaded, But Stresses That Issues Respecting Class-Wide Reliance Remain To Be Considered
On September 7, 2018, Judge Charles Breyer of the United States District Court for the Northern District of California denied a motion to dismiss a second amended putative class action complaint on behalf of Volkswagen bondholders ...
United States
19 Sep 2018
4
UK Financial Conduct Authority Appoints New Director Of Competition
On September 5, 2018, the U.K. FCA issued a press release announcing the appointment of Sheldon Mills as its new director of competition.
UK
17 Sep 2018
5
European Commission Communication On Proposed Amendments To Technical Standards On Systematic Internalisers' Quote Rules
On September 3, 2018, the European Commission published a Communication (dated August 10, 2018) on proposed amendments by ESMA to a RTS, known as "RTS 1," ...
European Union
17 Sep 2018
6
Financial Regulatory Developments Focus - Sept 12, 2018 Issue 36/2018
On September 5, 2018, HM Treasury published draft statutory instruments on the regulation of payments and e-money and on access to the Single Euro Payments Area in preparation for the U.K.'s withdrawal ...
European Union
17 Sep 2018
7
NFA Adopts Disclosure Requirements For Members Engaging In Virtual Currency Activities
The National Futures Association (NFA) has adopted an interpretive notice that requires futures commission merchants, introducing brokers ...
United States
14 Sep 2018
8
European Supervisory Authorities Report On Automation In Financial Advice
On September 5, 2018, the Joint Committee of the European Supervisory Authorities published a joint report on automation in financial advice.
European Union
14 Sep 2018
9
Five Individuals Imprisoned For £2.8 Million UK Investment Fraud
Many of the investors were elderly and vulnerable and suffered life-changing losses.
UK
14 Sep 2018
10
EU Disagreement On EU Technical Standards For Reporting Of Securities Financing Transactions
On July 24, 2018, the Commission informed ESMA by letter that it intended to endorse the draft RTS and ITS with amendments.
European Union
14 Sep 2018
11
Post-Brexit UK Secondary Legislation Published For Temporary Permissions Regime For Payments Services
The draft Regulations are relevant to all Payment Service Providers and registered Account Information Service Providers.
European Union
14 Sep 2018
12
European Banking Authority Proposes Revised Implementing Technical Standards For Reporting Of Securitization Information
On August 28, 2018, the European Banking Authority published a consultation paper setting out proposed amendments to existing Implementing Technical Standards on supervisory reporting ...
European Union
14 Sep 2018
13
US Federal Reserve Board And FDIC Extend Resolution Plan Submission Deadlines For Certain Institutions
On August 30, 2018, the U.S. Board of Governors of the Federal Reserve System and U.S. Federal Deposit Insurance Corporation announced that the agencies have extended the submission deadline ...
United States
14 Sep 2018
14
UK Regulator Confirms Its Expectations On Reporting For Resolution Planning
On August 31, 2018, the Prudential Regulation Authority issued an update on the application of its supervisory statement, "Resolution Planning."
UK
14 Sep 2018
15
US Office Of The Comptroller Of The Currency Issues Guidance With Respect To Implied Sovereign Support
On August 28, 2018, the U.S. Office of the Comptroller of the Currency issued guidance to OCC-supervised institutions with respect to the role of informal ...
United States
14 Sep 2018
16
Basel Committee Finalizes Technical Amendment To Pillar 3 Disclosure Requirements
On August 30, 2018, following a consultation in March 2018, the Basel Committee on Banking Supervision published a finalized technical amendment to the consolidated Pillar 3 disclosure technical standard ...
United States
14 Sep 2018
17
European Banking Authority Proposes Revised Implementing Technical Standards For Supervisory Reporting Under The Capital Requirements Regulation
On August 28, 2018, the European Banking Authority launched a consultation on proposed revisions to the existing Implementing Technical Standards for the financial reporting, or FINREP,
United States
13 Sep 2018
18
European Banking Authority Proposes Revised Supervisory Reporting Technical Standards On Liquidity Coverage Requirement
On August 28, 2018, the European Banking Authority launched a consultation on proposed revisions to the Implementing Technical Standards that relate to supervisory reporting,under the common reporting
European Union
13 Sep 2018
19
US Office Of The Comptroller Of The Currency Publishes Advanced Notice Of Proposed Rulemaking With Respect To Community Reinvestment Act Modernization
On August 28, 2018, the U.S. Office of the Comptroller of the Currency issued an advanced notice of proposed rulemaking with respect to the modernization of the Community Reinvestment Act.
United States
13 Sep 2018
20
US Federal Reserve Board Issues Interim Final Rule Expanding The Applicability Of The Small Bank Holding Company Policy Statement
On August 28, 2018, the U.S. Board of Governors of the Federal Reserve System issued an interim final rule increasing the asset threshold for the applicability of the Federal Reserve Board's...
United States
13 Sep 2018
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