Investment Bank Regulatory

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  • Simmons & Simmons responds to FSA’s CP13/9 on the implementation of the AIFMD Restricted access

    Article

    Submitted: 17 May 2013

    Simmons & Simmons submits a response to the FSA CP13/9 on implementing the Alternative Fund Managers Directive into the FCA rules.

  • FCA’s reign begins with three new offences Restricted access

    Article

    Submitted: 15 May 2013

    The Financial Services Act 2012 entered into force on 01 April 2013, introducing the FCA and three new criminal offences.

  • Proposed Dutch restrictions on use of derivatives by (semi)public institutions Restricted access

    Article

    Submitted: 13 May 2013

    The Dutch Minister of Finance recently provided a progress report to Parliament about the proposed regulation of the use of derivatives by (semi) public institutions. The need for the regulation was expressed in the Dutch coalition agreement of 29 October 2012, although the exact wording actually only refers to a ban on speculation with derivatives.

  • Financial Services Alerter - April 2013 developments Restricted access

    Newsletter

    Submitted: 13 May 2013

    Issue 64 of this regular bulletin providing brief details of significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • AIFMD for US hedge fund managers – “Marketing” to UK investors Restricted access

    Article

    Last Reviewed: 13 May 2013 / Submitted: 08 May 2013

    Overview of draft guidance on “marketing” and details of the proposed UK private placement register under AIFMD, as contained in FSA’s second consultation on UK implemention of AIFMD and subsequent HM Treasury Q&As.

  • AIFMD: HM Treasury publishes Q&As on a number of key topics Restricted access

    Article

    Submitted: 03 May 2013

    HM Treasury has published a series of Q&As, clarifying a number of outstanding issues on the transposition of the Alternative Investment Managers Directive into UK law.

  • Anti-money laundering - storm warning signal Restricted access

    Article

    Last Reviewed: 02 May 2013 / Submitted: 02 May 2013

    Hong Kong is tightening its grips on anti-money laundering with a ramped up AML supervision team and increased scrutiny of compliance by financial institutions.

  • Oversight April 2013 - SFC Consultation Conclusions on extending the SFO to apply to non-corporate listed entities Restricted access

    Newsletter

    Last Reviewed: 26 April 2013 / Submitted: 26 April 2013

    The SFC on 27 March 2013 issued its Consultation Conclusions on proposals to enhance the regulatory regime for non-corporate listed entities, in which the SFC has decided to implement all the proposals set out in the Consultation Paper. This Oversight focuses specifically on the proposals which are most relevant to ETFs and REITs listed on SEHK.

  • Hong Kong regulatory enforcement update April 2013 Restricted access

    Article

    Last Reviewed: 24 April 2013 / Submitted: 24 April 2013

    A round up on regulatory enforcement developments for the first quarter of 2013. The key focus areas in Q1 have been sales practices and other Code of Conduct issues.

  • UK challenges legal validity of EU FTT Restricted access

    Article

    Last Reviewed: 26 April 2013 / Submitted: 22 April 2013

    The UK has launched legal proceedings against the EU Financial Transaction Tax, challenging the legal validity of the current proposals on the basis of their extra-territoriality.

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