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Searching Content indexed under Compliance by Barnabas Reynolds ordered by Published Date Descending.
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1
Sanctions Round Up: Second Quarter 2019
While this quarter saw no major developments in Russia sanctions programs, OFAC signaled its continued willingness to target Russian banks for assisting others evade US sanctions
Worldwide
25 Jul 2019
2
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
3
The Effects Of Trans-Atlantic Reform On Margin For Uncleared Swaps: Balancing The Risks And Benefits Of Uncleared Swaps
New rules on margin requirements for uncleared swaps sharply tighten counterparty risk management in the uncleared space whilst serving further to mitigate system-wide risk.
United States
4 Feb 2016
4
Individual Accountability: The Senior Managers And Beyond
There has been much debate among regulators and in the general public about whether there should have been more enforcement action against executives and other individuals in banks...
United States
4 Dec 2015
5
Abu Dhabi Global Market: The Application Of English Common Law
English common law as it stands from time to time will directly apply in, and form part of the law of, Abu Dhabi Global Market ("ADGM").
United Arab Emirates
16 Nov 2015
6
Comptroller Of The Currency Discusses The Supervision Of Federal Branches And Agencies Of Foreign Banks
On December 3, 2014, Comptroller of the Currency Thomas J. Curry discussed the OCC approach to supervising federal branches and agencies of foreign banks. His remarks highlighted the OCC philosophy that supervision is specifically tailored to each individual branch or agency rather than an attempt to implement a one-size-fits-all approach. Main talking points centered on collaboration with foreign jurisdictions, cybersecurity and compliance with the Bank Secrecy Act and Anti-Money Laundering law
United States
22 Dec 2014
7
Twice As MAD: Legislative Proposals To Amend The European Regulation Of Market Abuse
The European Commission has published its legislative proposal to revise the Market Abuse Directive. The proposal takes the form of a directive and a regulation.
United States
22 Dec 2011
8
Proposed Regulation Of EU Emissions Allowances As Financial Instruments
The European Commission’s recent proposals to revise and recast the Markets in Financial Instruments Directive, or MiFID, and the Market Abuse Directive, or MAD, include, for the first time, regulating carbon emissions allowances as financial instruments.
European Union
9 Nov 2011
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