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Searching Content indexed under Corporate/Commercial Law by Rosali Pretorius ordered by Published Date Descending.
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Best Execution: Complying With MiFID 2
MiFID 2 will bring significant changes to the way in which firms conduct their trading business and the policies and procedures they have in place for informing clients and evidencing compliance.
UK
24 Mar 2016
2
The Securities Financing Transactions Regulation
The Regulation on Transparency of Securities Financing Transactions and of Reuse (2015/2365) (the SFTR) is a key part of the EU's initiative to reform shadow banking following the 2007-2008 financial crisis.
UK
27 Jan 2016
3
Financial Regulatory Developments (FReD) - July 3, 2015
Council and the European Parliament (EP) have agreed measures to improve the transparency of securities lending and repurchase transactions under the Securities Financing Transactions Regulation (SFT Regulation).
Worldwide
6 Jul 2015
4
Contractual Recognition Of Bail-In Powers
Firms to which the new UK rules apply (Covered Firms) include all UK banks and building societies.
UK
2 Jul 2015
5
Regulatory Developments - June 17, 2015
The FCA and the PRA have published further material in relation to the implementation of the new provisions relating to individual accountability in banking, including the Senior Managers regime, the certification regime, and the conduct rules.
UK
17 Jun 2015
6
Financial Regulatory Developments (FReD) - May 22, 2015
EP approves benchmarks Regulation: EP has approved the draft Regulation designed to curb conflicts of interest in the benchmark setting process.
European Union
22 May 2015
7
Financial Regulatory Developments (FReD) - May 15, 2015
ECON reports on benchmarks: The Economic and Monetary Policy Committee (ECON) within EP has published its report on the proposed Benchmarks Regulation.
Worldwide
15 May 2015
8
Outsourcing For Asset Managers
It is increasingly difficult for firms easily to check which of the myriad rules on outsourcing in financial services apply to them.
UK
18 Feb 2015
9
Crowded House
Post-financial crisis, many small businesses, unable to get bank financing in the wake of the tightening of bank capital rules, turned to crowdfunding.
UK
16 Feb 2015
10
MiFID 2: ESMA Publishes First Technical Advice
This article summarises ESMA's technical advice and consultation on standards under MiFID 2 published on 19 December 2014.
UK
31 Dec 2014
11
Financial Regulatory Developments (FReD) - 14 March 2014
Various changes to secondary legislation consequent on the changes to consumer credit regulation took effect on 7 March.
UK
18 Mar 2014
12
What To Do About LIBOR: Wheatley Review Consults
At the end of July, HM Treasury confirmed the Terms of Reference of the review the Government asked Martin Wheatley to carry out following the LIBOR setting issues.
UK
3 Oct 2012
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