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Searching Content indexed under Financial Services by Marnix Somsen ordered by Published Date Descending.
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1
Implementation Of Market Abuse Regulation Enters Final Phase
A recently published draft decree will soon finalise the implementation of the European Market Abuse Regulation (MAR) in the Netherlands.
Netherlands
24 Mar 2017
2
Settlements In Brief: Notable US Settlements In November
Enforcement actions by criminal and supervisory authorities are settled regularly. In light of this, companies are advised to take appropriate measures.
United States
14 Dec 2015
3
Settlements In Brief: Banks Escape Criminal Prosecution
Enforcement actions by criminal and supervisory authorities are settled regularly. In light of these developments, companies are advised to take appropriate measures.
Worldwide
10 Jul 2015
4
Settlements In Brief: US And UK Regulators Penalise Big Banks For Foreign Currency Manipulation
Enforcement actions by criminal and supervisory authorities are settled regularly.
Worldwide
12 Jun 2015
5
Settlements In Brief: Regulators Issue High Monetary Penalties In Combatting Financial Crime
Enforcement actions by criminal and supervisory authorities are settled regularly. In light of these developments, companies are advised to take appropriate measures.
Netherlands
13 May 2015
6
Banking Supervisor Updates Guidance On Money Laundering And Terrorist Financing Laws
The Dutch Central Bank recently published its updated guidance on sanction laws and legislation against money laundering and terrorism financing.
Netherlands
12 May 2015
7
Dutch Government Appears To Tighten Grip On Independent Conduct Supervision
Internal discussions on whether members of the AFM’s supervisory board can hold positions in companies or financial institutions prompted the Minister of Finance to conduct an integrity audit.
Netherlands
13 Feb 2015
8
Settlements In Brief: Bank Of America, BNP, Citigroup And Morgan Stanley
Cases resulting in economic sanctions and enforcement actions by (criminal) supervisory authorities related to RMBS are settled fairly regularly.
United States
18 Sep 2014
9
Dutch Central Bank Provides Good Practices In Battling Corruption
The Dutch Central Bank has recently published a brochure on countering corruption.
Netherlands
16 Apr 2014
10
New EU Market Abuse Legislation And How It Impacts The Netherlands
New EU legislation for preventing market abuse is nearly finalised and will most likely enter into effect by mid-2016.
European Union
14 Mar 2014
11
Settlements In Brief – Recently Settled Cases In Regulatory And Criminal Enforcement
Regulatory and criminal enforcement cases are settled fairly regularly, and we often consider settlements as setting precedents.
Netherlands
18 Feb 2014
12
SEC Enters Into DPA With An Individual For The First Time
The SEC announced its first deferred prosecution agreement with an individual.
Netherlands
17 Jan 2014
13
CBb Dismisses DNB’s Vision On Prudent Pension Asset Investment
The College of Appeal for Commerce recently held that the Dutch Central Bank was wrong when it issued an instruction to a pension fund.
Netherlands
18 Nov 2013
14
Regulatory & Criminal Enforcement Newsletter - June 2013
A summary of the most recent regulatory and criminal enforcements.
Netherlands
10 Jul 2013
15
Financial Markets Newsletter June 2013
According to a recent regulation, most financial institutions in the Netherlands will have to pay a higher supervision levy this year.
Netherlands
10 Jul 2013
16
Supervision Of Financial Conglomerates
A bill has been submitted to parliament implementing the European Directive on financial conglomerates.
Netherlands
9 May 2013
17
Scope Of AIFM Directive – Managers Of Pension Fund Assets Included
Managers of investment funds that exclusively manage the assets of pension funds will be subject to the rules of the AIFM Directive, to be implemented in the Netherlands in July 2013.
Netherlands
9 May 2013
18
Investment Companies Banned From Charging Commissions
From 2014, investment companies may no longer receive or pay commission from or to third parties.
Netherlands
9 May 2013
19
Alternative Financing
The Minister of Economic Affairs has informed the Second Chamber about alternative forms of financing.
Netherlands
9 May 2013
20
Bank's Duty Of Care
The coalition agreement contains an undertaking to provide a statutory basis for a duty of care for banks.
Netherlands
9 May 2013
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