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Governance & Securities Law Focus: Europe Edition, April 2018
On 16 January 2018, the ESMA published an updated version of its practical guide to the national rules across the EEA on the notification of major holdings under the Transparency Directive.
United States
20 Apr 2018
2
MiFID II, Research And Extraterritoriality: The SEC, European Commission And FCA Solution
On October 26, 2017, the US Securities and Exchange Commission, European Commission and the UK Financial Conduct Authority released, in a coordinated manner, a series of significant orders ...
European Union
17 Nov 2017
3
EU Proposals To Strengthen The Powers Of The European Supervisory Authorities
On 20 September 2017, the European Commission made proposals[1] to strengthen the regulatory and supervisory powers of the three European Supervisory Agencies (ESAs)...
European Union
3 Nov 2017
4
Brexit And Other Key Issues For CFOs And Corporate Treasurers
On June 23, 2016, the UK electorate voted to leave the European Union in an advisory Referendum.
United States
14 Jul 2016
5
MiFID II Implementation Delayed To 2018
The Council of the European Union has adopted legislation to delay the application of the Markets in Financial Instruments Directive and Markets in Financial Instruments Regulation by one year.
European Union
29 Jun 2016
6
FCA Obtains Two Criminal Convictions In High-Profile Insider Dealing Trial
The jury in the so-called ‘Tabernula' ("Little Tavern") case has on Monday delivered its verdict after a 12-week trial.
UK
18 May 2016
7
MiFID II: Access To EU Markets For Third Country Investment Firms
This note discusses the MiFID II regime for access by financial institutions located outside the EU to EU customers and markets.
United States
16 May 2016
8
Formal Proposal To Delay Implementation Of MiFID II Package To 2018
The European Commission has proposed to delay the application of the Markets in Financial Instruments Directive and Markets in Financial Instruments Regulation by one year.
United States
17 Feb 2016
9
Extraterritoriality: SEC Proposes Cross-Border Security-Based Swap Rules Regarding U.S.-Based Activity
The SEC's proposed rules, consistent with its other proposals and prior statements, clearly assert jurisdiction over security-based swap transactions between non-US persons that are arranged, negotiated or executed by US personnel.
United States
11 May 2015
10
Capital Markets Union: The EU’s Next Focus For Reforms
The proposals are part of an initiative to develop a more integrated single market for raising capital across the EU.
European Union
14 Apr 2015
11
US Securities And Exchange Commission Issues Proposal On Municipal Asset-Backed Securities-Related Disclosure
On December 1, 2014, the US Securities and Exchange Commission ("SEC") and the US Municipal Securities Rulemaking Board ("MSRB") issued a proposed rule adding municipal asset-backed securities-related disclosure required under Securities Exchange Act of 1934 Rule 15Ga-1 to the list of categories of continuing disclosures that the MSRB’s Electronic Municipal Market Access ("EMMA") will continue to accept and distribute publicly.
United States
22 Dec 2014
12
Financial Regulatory Developments Focus - August 5, 2014
In this newsletter, we provide a snapshot of the principal European, US and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructures, asset managers and corporates.
United States
8 Aug 2014
13
Financial Regulatory Developments Focus - 18 February 2014
In this newsletter, we provide a snapshot of the principal European, US and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructures, asset managers and corporates.
United States
24 Feb 2014
14
SEC Issues Proposed Rules On Cross-Border Security-Based Swap Activities
The SEC has proposed a long-awaited set of rules that provides its own contribution to the running debate over how US rules should apply to cross-border activity in derivatives.
United States
1 Jul 2013
15
Private Placement Update: FINRA Proposes Form Of Electronic Filing For Private Placements Under Rule 5123
The U.S. Financial Industry Regulatory Authority, Inc. recently filed a proposed rule change with the Securities and Exchange Commission concerning the obligations of members under FINRA Rule 5123 to provide notice when participating in certain private placements of securities.
United States
28 Jun 2013
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