Search
Searching Content indexed under Corporate/Commercial Law by Harvey Knight ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
Senior Executives: Are You Involved In An Internal Investigation? (Video)
As a senior individual in a corporate organisation, your professional conduct may be under scrutiny. This can take many forms
UK
8 Oct 2019
2
Comunicazione Banca d'Italia 25 Marzo 2015 In Materia Di Adempimenti Per Le SGR
Alleghiamo la comunicazione emanata da Banca d'Italia in data 25 marzo 2015 in materia di adempimenti per le SGR conseguenti alle disposizione attuative della Direttiva AIFM.
Italy
2 Apr 2015
3
Depositari Centrali Di Titoli
L'ESMA ha diffuso una serie di consultation paper in relazione al regolamento UE sui depositari centrali di titoli (CSD Regulation), al fine di raccogliere il riscontro degli operatori in merito a...
Italy
7 Jan 2015
4
Crowdfunding - 23 December 2014
L'ESMA ha infine pubblicato un parere (Opinion) e un consiglio d'indirizzo (Advice) sul crowdfunding (in particolare, l'investment-based crowdfunding).
UK
7 Jan 2015
5
Obligations For Approved Persons Donít Stop At The Office Door
The FCA banned Jonathan Burrows, a former Managing Director at Blackrock Asset Management Investor Services Limited, from working in the financial services industry.
UK
18 Dec 2014
6
US Regulation - SEC Sanctions Foreign Bank For Failure To Register
The US Securities and Exchange Commission (SEC) has issued a cease and desist order and has imposed remedial sanctions upon a foreign bank which failed to register as a broker-dealer or as an investment adviser.
United States
9 Dec 2014
7
Segregazione Degli Asset Dei Fondi Di İnvestimento
Un ruolo fondamentale nell'architettura della segregazione degli asset Ť ricoperto dalle banche depositarie e dagli altri soggetti autorizzati alla custodia degli asset degli AIF.
Italy
8 Dec 2014
8
EBA Opinion On CRD IV Use Of Special Allowances
The EBA has published an opinion on the application of the CRD IV, the principles of remuneration policies of credit institutions and investment firms and the use of special allowances.
European Union
5 Nov 2014
9
FCA On Restriction Of Retail Distribution Of CoCos And Mutual Funds
The FCA is proposing to put in place new requirements which would apply when mutual society shares are sold to ordinary retail investors.
UK
5 Nov 2014
10
SEC Final Rules On General Solicitation And General Advertising In Rule 506 And Rule 144A Offerings
On 23 September 2013 the US Securities Exchange Commissionís amended Rule 506 of Regulation D and Rule 144A under the US Securities Act 1933 to permit general solicitation and general advertising in transactions, became effective.
UK
4 Oct 2013
11
Are You Ready For 1 July 2011 (And Beyond)?
The FSA's revised Remuneration Code came into force on 1 January 2011. Firms have to comply with its provisions as soon as possible and in any event by no later than 1 July 2011.
UK
5 Jul 2011
12
The bank of England takes it all | The abolition of the FSA
With much fanfare, George Osborne announced the abolition of the Financial Services Authority ("FSA") in his maiden Mansion House speech as on 16 June 2010.
UK
7 Jul 2010
Links to Result pages
 
1