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Searching Content indexed under Securities by Harvey Knight ordered by Published Date Descending.
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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
2
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
3
Segregazione Degli Asset Dei Fondi Di İnvestimento
Un ruolo fondamentale nell'architettura della segregazione degli asset è ricoperto dalle banche depositarie e dagli altri soggetti autorizzati alla custodia degli asset degli AIF.
Italy
8 Dec 2014
4
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
5
SEC Final Rules On General Solicitation And General Advertising In Rule 506 And Rule 144A Offerings
On 23 September 2013 the US Securities Exchange Commission’s 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
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